Michael S. Clements
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 Scott Clements, who also goes by Michael S Clements, Michael S. Clements, Mike Clements, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2022 - January 8, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 29, 2021 - January 8, 2025
FIDELITY BROKERAGE SERVICES LLC
July 18, 2018 - May 26, 2021
FROST INVESTMENT SERVICES
July 18, 2018 - May 26, 2021
FROST BROKERAGE SERVICES, INC.
October 6, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 23, 2014 - March 8, 2018
SCOTTRADE, INC.
September 5, 2014 - December 24, 2014
GIRARD SECURITIES, INC.
September 5, 2014 - December 24, 2014
GIRARD SECURITIES, INC.
July 9, 2013 - August 4, 2014
SCOTTRADE, INC.
May 15, 2009 - May 13, 2013
TD AMERITRADE, INC.
May 15, 2009 - May 13, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 15, 2009 - May 13, 2013
TD AMERITRADE, INC.
February 12, 2008 - November 5, 2008
RBC CAPITAL MARKETS, LLC
February 12, 2008 - November 5, 2008
RBC CAPITAL MARKETS, LLC
September 5, 2006 - September 12, 2007
NEXT FINANCIAL GROUP, INC.
September 5, 2006 - September 12, 2007
NEXT FINANCIAL GROUP, INC.
June 30, 2003 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
October 1, 2002 - July 10, 2003
CHOREO, LLC
March 10, 1987 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
May 14, 1986 - March 18, 1987
M.G. MORGAN & COMPANY
May 22, 1984 - April 17, 1986
STELLAR INVESTMENTS, 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
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 7/28/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
