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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

MICHAEL JAMES HERGET

Advisor at WELLS FARGO ADVISORS

ORLAND PARK, IL | MOKENA, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 23, 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: Mar 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 16, 2001
First registration: Mar 23, 2001
Dual registered: yes, broker-dealer
Other names: MICHAEL J HERGET|MICHAEL J HERGET|MICHAEL J HERGET JR|JIM HERGET|MICHAEL J HERGET|MICHAEL JAMES HERGET
IAPD individual key: 4288271

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	Apr 16, 2010	n/a	yes	ORLAND PARK, IL\|MOKENA, IL	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	May 13, 2010	no	CHICAGO, IL\|ORLAND PARK, IL	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Dec 12, 2005	May 29, 2007	no	ORLAND PARK, IL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Dec 8, 2005	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Aug 19, 2003	Jul 6, 2005	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 23, 2001	Aug 1, 2003	no	CHICAGO, IL	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
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO ADVISORS	May 13, 2010	Apr 16, 2010	-27	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	CITICORP INVESTMENT SERVICES	Dec 8, 2005	Dec 12, 2005	4	Firm change	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANC ONE SECURITIES CORPORATION	Aug 1, 2003	Aug 19, 2003	18	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Apr 16, 2010 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to May 13, 2010factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Dec 12, 2005 to May 29, 2007factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Dec 8, 2005factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 19, 2003 to Jul 6, 2005factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 23, 2001 to Aug 1, 2003factForm ADV

Dated events

No dated event names this entity yet.