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MF

Michael K. Faulkner

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CRD#: 1182049
MF

Professional summary

Michael Kyle Faulkner was barred by the FINRA 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 3 firms, which includes BIRCHTREE FINANCIAL SERVICES LLC, KIMMINS SECURITIES INC., LOWELL H. LISTROM & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 21, 1988 - June 16, 1999

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

August 18, 1988 - January 7, 1989

KIMMINS SECURITIES, INC.

BD
CRD#: 18168
Past

September 22, 1983 - September 13, 1988

LOWELL H. LISTROM & COMPANY INC.

BD
CRD#: 6336

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
IAR
Series 65
Date: 11/27/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/9/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/30/1993
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/3/1991
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/21/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/1990
General Securities Principal Examination

Current Firm

BF
BIRCHTREE FINANCIAL SERVICES LLC
ALL AMERICAN SECURITIES, INC. | BIRCHTREE FINANCIAL SERVICES, INC. | BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014 / SEC#: , 8-31632

BD
Terminated by SEC on 07/17/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 11/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MCGLADREY WEALTH MANAGEMENT LLCMEMBER111221
PHILLIPS, DALE STEVENPRESIDENT, CFO & DIRECTOR2080064
RIPPBERGER, THOMAS KENNETHCHIEF COMPLIANCE OFFICER & SECRETARY3131447

Disclosures

Regulatory Event4
Arbitration1

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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Company Information

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

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