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Detailed Report
THOMAS STEPHEN MICHENER
THOMAS MICHENER, Thom Stephen Michener, Tommy Stephen Michener
CRD#: 6820585
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 3059 TOWNSGATE RD 4TH FL/STE 400
[LD-RBO]
WESTLAKE VILLAGE, CA 91361
Registration History
2017201820192020202120222023202420252026IAWELLS FARGO ADVISORS (CRD# 19616)2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2017 - Present (7 years)
License(s)

State Registrations

B
Arizona 9/29/2022
B
New Mexico 9/20/2024
B
California 9/8/2017
B
New York 2/7/2023
IA
California 8/30/2022
B
North Carolina 9/29/2022
B
Connecticut 9/20/2024
B
Ohio 9/12/2024
B
Florida 11/3/2022
B
Oklahoma 6/20/2023
B
Georgia 6/20/2023
B
Oregon 6/20/2023
B
Hawaii 9/29/2022
B
Pennsylvania 5/1/2023
B
Idaho 9/11/2024
B
South Carolina 9/10/2024
B
Louisiana 9/29/2022
B
Tennessee 11/3/2022
B
Maine 6/20/2023
B
Texas 11/3/2022
B
Massachusetts 7/17/2023
IA
Texas 11/3/2022
B
Michigan 11/3/2022
B
Utah 6/20/2023
B
Minnesota 9/29/2022
B
Vermont 6/20/2023
B
Montana 6/15/2023
B
Virginia 9/29/2022
B
Nevada 9/29/2022
B
Washington 11/3/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
3059 TOWNSGATE RD 4TH FL/STE 400 [LD-RBO], WESTLAKE VILLAGE, CA 91361
2740 COCHRAN ST, SIMI VALLEY, CA 93065
Registered with this firm since 8/30/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
3059 TOWNSGATE RD 4TH FL/STE 400 [LD-RBO], WESTLAKE VILLAGE, CA 91361
2740 COCHRAN ST, SIMI VALLEY, CA 93065
Registered with this firm since 8/29/2017
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.