Michael B. Radest
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 Benjamin Radest was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - November 3, 2023
WELLS FARGO SECURITIES, LLC
March 17, 2009 - October 14, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2003 - October 21, 2003
BNP PARIBAS PRIME BROKERAGE, INC.
September 16, 2002 - January 31, 2011
BANC OF AMERICA SECURITIES LLC
October 3, 1997 - September 10, 2002
CREDIT SUISSE SECURITIES (USA) LLC
November 5, 1996 - October 1, 1997
CITICORP SECURITIES, INC.
June 22, 1994 - October 16, 1996
CITICORP INVESTMENT SERVICES
November 28, 1988 - June 27, 1994
CREDIT SUISSE SECURITIES (USA) LLC
June 23, 1987 - December 5, 1988
LEHMAN BROTHERS INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 7/11/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
