Michael A. Brown
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 Alan Brown was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
March 24, 2010 - August 19, 2024
WOODMEN FINANCIAL SERVICES, INC.
August 28, 2008 - July 27, 2009
AMERITAS INVESTMENT COMPANY, LLC
May 4, 2006 - August 4, 2008
WOODMEN FINANCIAL SERVICES, INC.
June 10, 2004 - August 25, 2005
MWA FINANCIAL SERVICES INC.
July 15, 2002 - August 25, 2005
MWA FINANCIAL SERVICES INC.
January 30, 2001 - July 9, 2002
METROPOLITAN LIFE INSURANCE COMPANY
January 30, 2001 - July 9, 2002
MSI FINANCIAL SERVICES, INC.
May 6, 1999 - February 7, 2001
PRUCO SECURITIES, LLC.
May 6, 1997 - January 7, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 6, 1997 - January 7, 1999
EQUITABLE ADVISORS, LLC
April 22, 1996 - May 5, 1997
NYLIFE SECURITIES LLC
December 19, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
December 19, 1988 - February 14, 1996
MONY SECURITIES CORPORATION
February 9, 1984 - July 11, 1988
NYLIFE SECURITIES LLC
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
WOODMEN FINANCIAL SERVICES, INC.
CRD#: 117365 / SEC#: , 8-53592
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WFS HOLDINGS, INC. | 100% OWNER OF WOODMEN FINANCIAL SERVICES, INC. | |
| BENGTSON, CYNTHIA SHAWN | DIRECTOR AND CHAIRMAN | 6073749 |
| BUDERUS, TIMOTHY KEVIN | PRESIDENT, CEO AND DIRECTOR | 3083401 |
| DARLING, DANIEL RUSSELL | SENIOR SALES MANAGER | 5220507 |
| DAY, JACOB MICHAEL | DIRECTOR | 5003086 |
| DRIFFILL, CHARLES REICH JR. | DIRECTOR | 5239194 |
| EBLEN, LINDSEY JEAN | FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER | 4496236 |
| OLARI, NICHOLAS CONNER | DIRECTOR AND SECRETARY | 6079027 |
| PORTER, RAHJA | CHIEF COMPLIANCE OFFICER | 6860469 |
| ROSAUER, ADAM THOMAS | MANAGER OF OPERATIONS | 4761408 |
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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