Michael Bogoslawsky

Some features on this profile are disabled

CRD#: 24908

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 Bogoslawsky, who also goes by Mike Bogoslawsky, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Bogoslawsky

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

September 12, 2011 - September 8, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ALPHARETTA, GA

Past

September 9, 2011 - September 8, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ALPHARETTA, GA

Past

June 1, 2009 - September 13, 2011

MORGAN STANLEY

RIA

CRD#: 149777

ALPHARETTA, GA

Past

June 1, 2009 - September 13, 2011

MORGAN STANLEY

CRD#: 149777

ALPHARETTA, GA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ALPHARETTA, GA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ALPHARETTA, GA

Past

June 3, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ALPHARETTA, GA

Past

April 20, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ALPHARETTA, GA

Past

January 24, 1991 - April 25, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 19, 1990 - January 11, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 31, 1979 - December 13, 1990

PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.

CRD#: 8450

Past

January 18, 1978 - June 18, 1979

LOEB PARTNERS

CRD#: 7534

Past

February 11, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

October 30, 1975 - March 8, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 6774

Past

March 13, 1975 - November 22, 1975

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

November 1, 1971 - November 2, 1973

KOHLMEYER AND COMPANY

CRD#: 1000001

Past

September 8, 1971 - December 8, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 6/16/1988

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 9/8/1971

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/8/1971

Registered Representative Examination

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

19,017

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)

WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)

WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)

WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRONK, DARRELL	HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL	2498892
GINDI, SOL	PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL	4903526
KARANIK, ERIK ANTHONY	BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL	5616656
PATEL, RAKESH	CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS	5385585
SAUNDERS, DAVID WARD	DESIGNATED STATE PRINCIPAL	2448617
SOMESHWAR, PRASANNA	HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL	7491790
SOMMERS, BARRY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2301454
TSAMADIAS, CHRISTOS G	CHIEF COMPLIANCE OFFICER	5433568

Regulatory assets under management

Total Number of Accounts	1,327,695
AUM (Assets Under Management)	$ 606,037,831,365

Disclosures

Regulatory Event	182
Civil Event	2
Arbitration	303

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael Bogoslawsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

SHEARSON HAYDEN STONE INC.

THOMSON MCKINNON SECURITIES INC.

KOHLMEYER AND COMPANY

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/1994

Series 63

Date: 3/3/1980

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 6/16/1988

Series 000

Date: 9/8/1971

Series 1

Date: 9/8/1971

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO CLEARING SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors