Michele G. Neff
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.
Michele Gay Neff, who also goes by Michele Gay Berger, Michele Gay Mooney, Michele Gay Wessels, Michele Mooney Wessels, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1981. Michele had worked at 19 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2012 - February 18, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 31, 2006 - June 23, 2010
WELLS FARGO INVESTMENTS, LLC
December 13, 2000 - July 20, 2005
WELLS FARGO INVESTMENTS, LLC
January 14, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 14, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 21, 1997 - January 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1995 - April 30, 1997
CITIGROUP GLOBAL MARKETS INC.
August 12, 1993 - December 31, 1993
AMERINATIONAL FINANCIAL SERVICES, INC.
November 2, 1992 - June 4, 1993
GAINEY FINANCIAL SERVICES, INC.
April 15, 1992 - June 30, 1992
AMERIPRISE ADVISOR SERVICES, INC.
October 19, 1990 - January 15, 1992
LAWSON FINANCIAL CORPORATION
November 12, 1988 - April 2, 1990
MORGAN STANLEY DW INC.
July 6, 1988 - October 24, 1988
BILTMORE EQUITIES & SECURITIES, LTD.
November 24, 1987 - April 6, 1988
BA INVESTMENT SERVICES, INC.
November 28, 1984 - November 18, 1987
I.M. SIMON & CO., INC.
May 10, 1984 - November 23, 1984
R. ROWLAND & CO., INCORPORATED
November 22, 1983 - May 11, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1983 - December 14, 1983
MORGAN STANLEY DW INC.
December 1, 1982 - August 15, 1983
LEHMAN BROTHERS INC.
January 21, 1982 - August 18, 1982
KIDDER, PEABODY & CO. INCORPORATED
April 13, 1981 - January 13, 1982
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
