Michael C. Boulden
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 Charles Boulden, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 22 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2020 - August 24, 2023
CHARLES SCHWAB & CO., INC.
May 23, 2020 - August 24, 2023
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
May 15, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
May 15, 2014 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
July 31, 2012 - April 15, 2014
PNC WEALTH MANAGEMENT LLC
July 6, 2012 - April 15, 2014
PNC WEALTH MANAGEMENT LLC
April 21, 2010 - October 4, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 9, 2010 - October 4, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 25, 2008 - January 27, 2010
UNFCU ADVISORS LLC
May 4, 2004 - July 19, 2007
BB&T INVESTMENT SERVICES, INC.
May 4, 2004 - July 19, 2007
BB&T INVESTMENT SERVICES, INC.
July 8, 2002 - October 16, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
May 2, 2000 - May 10, 2001
TRANSAMERICA SECURITIES SALES CORPORATION
January 5, 1998 - August 16, 1999
GUARANTY BROKERAGE SERVICES, INC.
January 31, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
August 9, 1995 - January 31, 1996
MARKETING ONE SECURITIES, INC.
April 14, 1994 - February 10, 1995
FIRST INTERSTATE INVESTMENTS,INC.
May 27, 1992 - June 9, 1994
ESSEX NATIONAL SECURITIES, LLC
January 29, 1992 - May 11, 1992
MML INVESTORS SERVICES, LLC
October 26, 1988 - April 2, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 6, 1988 - October 20, 1988
SECURITIES WEST, INC.
July 9, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
August 15, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 15, 1984 - March 21, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
