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MW

Michael J. Wright

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CRD#: 1099171
MW

Professional summary

Michael Joseph Wright was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Michael had worked at 7 firms, which includes USALLIANZ SECURITIES INC., SICOR SECURITIES INC, MARINER FINANCIAL SERVICES INC., WOODWARD SECURITIES CORPORATION, LPL FINANCIAL LLC, JOHNSON LANE SPACE SMITH & CO. INC., THE ROBINSON-HUMPHREY COMPANY LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Wright

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 8, 2000 - January 10, 2001

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

August 6, 1997 - February 24, 1999

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH
Past

April 21, 1995 - July 16, 1997

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

June 7, 1991 - April 3, 1995

WOODWARD SECURITIES CORPORATION

BD
CRD#: 25579
Past

July 29, 1986 - June 12, 1991

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 7, 1985 - August 7, 1986

JOHNSON, LANE, SPACE, SMITH & CO., INC.

BD
CRD#: 472
Past

March 24, 1983 - May 24, 1985

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/11/1983
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/1986
General Securities Principal Examination

Current Firm

US
USALLIANZ SECURITIES, INC.
LIFEUSA SECURITIES INC | USALLIANZ SECURITIES, INC. | LIFEUSA SECURITIES, INC.

CRD#: 40875 / SEC#: , 8-49216

BD
Terminated by SEC on 02/18/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 02/15/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICASHAREHOLDER
HOWELL, RUTH ANNETTECHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL
INGERSOLL, THADDEUS WINTHROP IIICOMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL2616975
JORGENSEN, MICHAEL JAMESPRESIDENT2676329
REITAN, EMILY SUZANNECHIEF FINANCIAL OFFICER & TREASURER5209812
VITIELLO, VINCENT GERARDCHAIRMAN OF THE BOARD1059845

Disclosures

Regulatory Event3

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.

Company Information

USALLIANZ SECURITIES, INC.

CRD#: 40875

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