Michael W. Hlavin
Professional summary
Michael William Hlavin, CFP® is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Denver, Colorado.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael William Hlavin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2016 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 717 17th Street, Ste 1300, Denver, CO 80202April 5, 2012 - June 23, 2016
M&T SECURITIES, INC.
March 23, 2012 - June 23, 2016
M&T SECURITIES, INC.
January 2, 2002 - April 6, 2010
LINCOLN INVESTMENT
August 25, 1999 - April 6, 2010
LINCOLN INVESTMENT
April 28, 1995 - July 19, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 2, 1990 - April 18, 1995
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - April 18, 1995
MSI FINANCIAL SERVICES, INC.
January 24, 1989 - April 25, 1990
UR FINANCIAL, INC.
August 18, 1987 - February 10, 1989
CLAYTON BROWN & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/26/2016)
Exams
FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
