Stuart P. Mikkelsen
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.
Stuart Paul Mikkelsen, who also goes by Stu Mikkelsen, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1985. Stuart had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2012 - December 31, 2014
ANICO FINANCIAL SERVICES, INC.
June 4, 2002 - September 4, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
December 6, 1999 - April 2, 2001
HARBOUR INVESTMENTS, INC.
October 26, 1999 - February 13, 2001
INTERLINK SECURITIES CORP.
July 22, 1999 - October 11, 1999
PACKERLAND BROKERAGE SERVICES, INC.
October 1, 1998 - July 20, 1999
PALADIN MARKET ADVISORS, LLC
January 27, 1994 - May 13, 1996
SII INVESTMENTS, INC.
June 9, 1992 - December 31, 1993
VOYA FINANCIAL ADVISORS, INC.
October 3, 1991 - April 23, 1992
F & G SECURITIES, INC.
December 20, 1985 - December 31, 1990
VOYA FINANCIAL ADVISORS, 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
Current Firm
ANICO FINANCIAL SERVICES, INC.
CRD#: 158883 / SEC#: , 8-68938
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
