Michael J. Wells
Professional summary
Michael Jeffrey Wells, CFP®, CLU®, who also goes by Mike Wells, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Jeffrey Wells's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2015 - Present
CUNA BROKERAGE SERVICES, INC.
October 14, 2021 - March 30, 2023
CUNA BROKERAGE SERVICES, INC.
April 9, 2015 - August 30, 2021
CUNA BROKERAGE SERVICES, INC.
January 4, 2014 - February 11, 2014
PRINCIPAL SECURITIES, INC.
July 9, 2012 - October 16, 2013
HORTER INVESTMENT MANAGEMENT, LLC
June 28, 2011 - March 1, 2012
VALIC FINANCIAL ADVISORS, INC.
June 20, 2011 - March 1, 2012
VALIC FINANCIAL ADVISORS, INC.
December 16, 2010 - June 21, 2011
C.K. COOPER & COMPANY, INC.
December 14, 2010 - June 21, 2011
C.K. COOPER & COMPANY, INC.
January 2, 2008 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
December 4, 2007 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
March 13, 2006 - November 2, 2006
PRINCIPAL SECURITIES, INC.
October 3, 2005 - November 2, 2006
PRINCIPAL SECURITIES, INC.
September 23, 2004 - July 7, 2005
ALLSTATE FINANCIAL SERVICES, LLC
June 17, 2003 - September 13, 2004
CITICORP INVESTMENT SERVICES
June 17, 2003 - September 13, 2004
CITICORP INVESTMENT SERVICES
February 26, 2003 - July 8, 2003
IFMG SECURITIES, INC.
February 21, 2003 - July 8, 2003
IFMG SECURITIES, INC.
August 16, 2001 - February 18, 2003
WAMU INVESTMENTS, INC.
February 6, 1998 - August 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 1996 - January 22, 1998
MONY SECURITIES CORPORATION
February 12, 1996 - May 31, 1996
WOODBURY FINANCIAL SERVICES, 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
(1/13/2022)
(10/14/2021)
(1/13/2022)
(1/13/2022)
(1/13/2022)
(1/13/2022)
(1/13/2022)
(1/13/2022)
(1/13/2022)
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(1/13/2022)
(1/13/2022)
Exams
FINRA
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
