Michael J. Drumm
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 Joseph Drumm was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2022 - October 29, 2025
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 30, 2020 - October 29, 2025
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
June 29, 2020 - May 27, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 2011 - July 6, 2020
JANNEY MONTGOMERY SCOTT LLC
August 31, 2011 - July 6, 2020
JANNEY MONTGOMERY SCOTT LLC
June 1, 2009 - September 7, 2011
MORGAN STANLEY
June 1, 2009 - September 7, 2011
MORGAN STANLEY
April 4, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 16, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 2, 1998 - September 29, 2000
TRADE.COM ONLINE SECURITIES, INC.
April 18, 1996 - January 23, 1998
BLUESTONE CAPITAL CORP.
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
