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MM

Michelle A. Mersereau

Some features on this profile are disabled
CRD#: 2457831
MM

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.

Michelle Anne Mersereau, who also goes by Missy Mersereau, was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 1995. Michelle had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Missy Mersereau

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 14, 2000 - August 12, 2002

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

December 13, 2000 - August 6, 2004

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

August 7, 1995 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/30/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/1995
General Securities Representative Examination

Current Firm

WF
WELLS FARGO BROKERAGE SERVICES, L.L.C.
NORWEST INVESTMENT SERVICES, INC. | WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100 / SEC#: , 8-33283

BD
Terminated by SEC on 02/02/2010
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLS FARGO INVESTMENT GROUP, INC.DIRECT OWNER
HOGG, ALAN THOMASDIRECTOR, EXECUTIVE VICE PRESIDENT3019085
MATTHIES, SILAS LANGDON JRDIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY1385815
MCGRORY, MATTHEW W.DIRECTOR4917590
NIEDFELDT, JOAN CAROLECHIEF FINANCIAL OFFICER/VICE PRESIDENT724703
SCHAEFER, MICHAEL ALLENDIRECTOR1599656
SHREWSBERRY, JOHN RICHARDDIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT2264673
ZELLMER, JO ANNCHIEF COMPLIANCE OFFICER/VICE PRESIDENT2169167

Disclosures

Regulatory Event11
Arbitration8

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.

Company Information

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

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