Michael J. Wells
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael James Wells, who also goes by Mike Wells, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 13 firms and has passed the Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2016 - September 22, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
March 1, 2016 - September 22, 2017
ALLSTATE FINANCIAL SERVICES, LLC
March 13, 2014 - February 9, 2016
SAYBRUS EQUITY SERVICES, LLC
December 12, 2012 - November 13, 2013
PARK AVENUE SECURITIES LLC
September 13, 2011 - October 11, 2012
THE LEADERS GROUP, INC.
August 20, 2010 - August 1, 2011
VOYA FINANCIAL ADVISORS, INC.
November 5, 2004 - February 1, 2010
PARK AVENUE SECURITIES LLC
November 3, 2000 - January 12, 2001
WORLD INVESTMENTS, LLC
May 27, 1997 - September 10, 1998
PRUCO SECURITIES, LLC.
September 5, 1995 - November 11, 1996
NATHAN & LEWIS SECURITIES, INC.
December 5, 1994 - September 5, 1995
EQUITY SERVICES, INC.
July 20, 1988 - December 31, 1989
LCP CAPITAL CORP.
February 19, 1988 - June 21, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 16, 1987 - December 15, 1987
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
