Michael W. Nolte
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 William Nolte, who also goes by Michael Nolte, Mike Nolte, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 3 firms and has passed the Series 63, SIE 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
September 19, 2005 - October 20, 2005
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
April 5, 1988 - December 22, 2023
STEPHENS
May 22, 1986 - May 19, 1988
SWINK & COMPANY, INC.
Primary Firm SEC Registration
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
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
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 7,637,388,860 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/07/2024 | ||
| 11/29/2022 |
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.
