Michael P. Adler
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 Phillip Adler, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2013 - August 16, 2024
CHARLES SCHWAB & CO., INC.
April 29, 2008 - December 31, 2012
CHARLES SCHWAB & CO., INC.
April 29, 2008 - August 16, 2024
CHARLES SCHWAB & CO., INC.
May 14, 2007 - April 10, 2008
EDWARD JONES
May 14, 2007 - April 10, 2008
EDWARD JONES
September 30, 2003 - January 17, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 30, 2003 - January 17, 2007
MSI FINANCIAL SERVICES, INC.
August 27, 1995 - June 26, 2003
STRATEGIC ADVISERS LLC
July 7, 1989 - June 26, 2003
FIDELITY BROKERAGE SERVICES LLC
June 1, 1989 - July 14, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 1984 - April 21, 1989
MONARCH FINANCIAL SERVICES, INC.
August 17, 1983 - May 4, 1984
FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 8/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
