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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MICHAEL MALTBY

Advisor at WELLS FARGO ADVISORS

ALPHARETTA, GA | BRASELTON, GA

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Search this name across graphsid dfx:ria:7a9e0440-882c-57ec-4023-2f89c2e5a463

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 28, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 28, 2000
First registration: Sep 28, 2001
Dual registered: yes, broker-dealer
Other names: MIKE EVERETT MALTBY|MICHAEL EVERETT MALTBY|MICHAEL E. MALTBY|Michael Maltby|Mike Maltby|Mike E. Maltby
IAPD individual key: 4182074

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Aug 23, 2024	n/a	yes	BRASELTON, GA\|ALPHARETTA, GA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 4, 2009	Aug 23, 2024	no	ALPHARETTA, GA\|PORTLAND, OR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 8, 2009	no	Alpharetta, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	ALPHARETTA, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	May 19, 2006	Apr 2, 2007	no	ALPHARETTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 28, 2001	May 24, 2006	no	ALPHARETTA, GA\|ALPHARETTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Aug 23, 2024	Aug 23, 2024	0	Channel change	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Sep 8, 2009	Sep 4, 2009	-4	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	May 24, 2006	May 19, 2006	-5	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Aug 23, 2024 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 4, 2009 to Aug 23, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 8, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 19, 2006 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 28, 2001 to May 24, 2006factForm ADV

Dated events

No dated event names this entity yet.