Michael J. Baney
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 James Baney was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2006 - December 13, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 13, 2003 - December 1, 2006
JANUS HENDERSON DISTRIBUTORS US LLC
November 12, 2002 - September 30, 2003
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
November 10, 1997 - September 30, 2003
DWS DISTRIBUTORS, INC.
April 5, 1990 - October 8, 1997
PXP SECURITIES CORP.
May 22, 1989 - March 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 21, 1987 - March 8, 1989
GT GLOBAL, INC.
February 6, 1987 - May 20, 1987
JOHNSTOWN CAPITAL SECURITIES CORPORATION
January 2, 1985 - September 20, 1985
BUTCHER & SINGER INC.
June 27, 1983 - December 18, 1984
INDIVIDUAL'S SECURITIES LTD.
March 22, 1983 - July 6, 1983
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
September 7, 1982 - January 26, 1983
FORESTERS FINANCIAL SERVICES, 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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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