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MA

Mike Allen Atkins

CRD# 1335631·Registered 1985 - 2005
Barred: Mike Allen Atkins was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mike Allen Atkins, who also goes by Michael Allen Atkins, Mike A Atkins, was a registered financial advisor. Mike was a previously registered financial advisor and started their career in finance 1985 - 2005. Mike had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Allen Atkins, Mike A Atkins

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

LANDOAK SECURITIES, LLC·CRD# 41123
RIA
Knoxville, TN
September 27, 1997 - January 21, 2005
LANDOAK SECURITIES, LLC·CRD# 41123
BD
Knoxville, TN
May 21, 1996 - July 25, 2007
EQUITY SERVICES, INC.·CRD# 265
BD
Montpelier, VT
April 1, 1993 - May 13, 1996
CINCINNATI ANALYSTS, INC.·CRD# 5478
BD
Cincinnati, OH
June 19, 1985 - April 1, 1993

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Current Firm

LS
LANDOAK SECURITIES, LLC

LANDOAK SECURITIES, LLC

CRD#: 41123 / SEC#: 8-49302
BD
Terminated by SEC on 11/13/2009

Contact Information

Established

Tennessee since 04/15/1996

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MARTIN, PATRICK LANSINGCHIEF MANAGER/OWNER321489
MATTHEWS, CHARLES CHRISTOPHERFINOP / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER4954733

Disclosures

Regulatory Event

1

Civil Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1988About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MA
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