Michael J. Fanning
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 Justin Fanning was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 12 firms and has passed the Series 66, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2021 - February 17, 2021
FISHER INVESTMENTS
April 3, 2018 - November 23, 2020
STRANBERG CAPITAL LLC
February 19, 2010 - June 14, 2014
FANNING FINANCIAL, L.L.C.
June 29, 2006 - July 20, 2009
STRATEGIC ADVISERS LLC
July 8, 2005 - July 20, 2009
FIDELITY BROKERAGE SERVICES LLC
August 19, 2003 - March 9, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 20, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
April 20, 1991 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
April 20, 1991 - August 20, 2003
LEHMAN BROTHERS INC.
August 9, 1990 - March 28, 1991
RAUSCHER PIERCE REFSNES, INC.
July 25, 1987 - March 3, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
August 21, 1984 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 5
Date: 10/30/1984
Interest Rate Options ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
