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Michael Kyle Faulkner

CRD# 1182049·Registered 1983 - 1999
Barred: Michael Kyle Faulkner was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael Kyle Faulkner was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1983 - 1999. Michael had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

BIRCHTREE FINANCIAL SERVICES LLC·CRD# 15014
BD
Minneapolis, MN
December 21, 1988 - June 16, 1999
KIMMINS SECURITIES, INC.·CRD# 18168
BD
August 18, 1988 - January 7, 1989
LOWELL H. LISTROM & COMPANY INC.·CRD# 6336
BD
September 22, 1983 - September 13, 1988

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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

Contact Information

Established

Oklahoma since 11/10/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event

4

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1983About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Sep 1993About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1991About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Jun 1991About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Nov 1990About the Series 24 exam

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CRS (Client Relationship Summary)

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

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