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MA

Michael Austin

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CRD#: 1207958
MA

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 Austin was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

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 8, 1983 - January 11, 2024

FED MUTUAL FINANCIAL SERVICES, INC.

BD
CRD#: 7678
RIVERWOODS, IL

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: 12/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/7/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FM
FED MUTUAL FINANCIAL SERVICES, INC.
FED MUTUAL FINANCIAL SERVICES, INC.

CRD#: 7678 / SEC#: , 8-22813

BD
Terminated by SEC on 08/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/17/1973
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FEDERAL LIFE INSURANCE COMPANY100% OWNER OF FED MUTUAL FINANCIAL SERVICES, INC.
AUSTIN, WILLIAM STANTONDIRECTOR
RAAUM, ANDERSDIRECTOR, PRESIDENT AND CEO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2987546
WALLACH, KENNETH TODDCHIEF COMPLIANCE OFFICER, SECRETARY5717336

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

FED MUTUAL FINANCIAL SERVICES, INC.

CRD#: 7678

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