Michael R. Waterman
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.
Michael Roland Waterman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - April 30, 2021
KALOS CAPITAL, INC.
February 8, 2012 - August 19, 2022
KALOS MANAGEMENT
May 30, 2008 - February 8, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
May 15, 2008 - February 8, 2012
PACIFIC WEST SECURITIES, INC.
November 16, 2007 - May 30, 2008
INTERCAROLINA FINANCIAL SERVICES, INC.
November 16, 2007 - May 30, 2008
INTERCAROLINA FINANCIAL SERVICES, INC.
October 20, 2004 - November 16, 2007
THE STRATEGIC FINANCIAL ALLIANCE, INC.
October 31, 2003 - November 16, 2007
THE STRATEGIC FINANCIAL ALLIANCE, INC.
February 28, 2003 - December 1, 2003
IFG NETWORK SECURITIES, INC.
June 15, 2002 - March 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2001 - June 15, 2002
WACHOVIA SECURITIES, 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
Exams
Current Firm
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
