Michael P. Cutler
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 Preston Cutler was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 52 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
March 14, 2012 - October 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2012 - October 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2011 - February 15, 2012
JHS CAPITAL ADVISORS, LLC
April 6, 2011 - February 15, 2012
JHS CAPITAL ADVISORS, LLC
September 21, 2007 - May 1, 2009
MORGAN KEEGAN & COMPANY, LLC
September 4, 2007 - May 1, 2009
MORGAN KEEGAN & COMPANY, LLC
December 4, 2006 - August 24, 2007
COLONIAL BROKERAGE, INC.
January 2, 2006 - September 4, 2007
COLONIAL ASSET MANAGEMENT INC
October 19, 2001 - November 28, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 19, 2001 - November 28, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 2, 1999 - October 9, 2001
MORGAN STANLEY DW INC.
September 22, 1998 - March 25, 1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
January 3, 1997 - September 21, 1998
MJK CLEARING, INC.
October 25, 1994 - January 3, 1997
JM DISSOLUTION, INC.
January 1, 1994 - July 27, 1994
MARKETING ONE SECURITIES, INC.
October 24, 1991 - December 22, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 19, 1990 - December 2, 1991
REICH & CO., INC.
October 6, 1989 - March 24, 1990
HYM FINANCIAL, INC.
November 3, 1988 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 11, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
August 8, 1984 - August 9, 1988
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
