Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Dean Austin is a financial advisor registered with Wells Fargo Clearing Services, LLC. Michael has been in the financial industry for over 9 years. Michael is currently registered with the state of North Carolina and Texas and is also FINRA registered. Michael is a Series 63, 66, 7, and SIE licensed representative and is FINRA registered. Michael has worked at various financial institutions, including TIAA-CREF Individual & Institutional Services, LLC, Vanguard Marketing Corporation, Ally Invest Securities LLC, and Wells Fargo Advisors Financial Network, LLC. Michael's current firm, Wells Fargo Clearing Services, LLC, is a large firm with over $10 billion - $50 billion in assets under management. The firm provides a variety of financial services, including investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
08/30/2022 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
11/27/2019 - 07/30/2020
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
03/22/2017 - 09/17/2018
ALLY INVEST SECURITIES LLC (CHARLOTTE NC)
NC
11/29/2013 - 01/05/2017
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
03/07/2013 - 08/08/2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NC
10/29/2012 - 03/11/2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CHARLOTTE NC)
BOTH
Issued 06/25/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/11/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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