Michael W. Moeller
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 Moeller, who also goes by Mike Moeller, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 12 firms and has passed the Series 65, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - December 19, 2017
ADVOCATE WEALTH SOLUTIONS
August 18, 2011 - October 10, 2014
LPL FINANCIAL LLC
August 18, 2011 - October 10, 2014
LPL FINANCIAL LLC
January 2, 2009 - August 18, 2011
TRIAD ADVISORS LLC
February 13, 2007 - December 31, 2018
MOELLER FINANCIAL ADVISORS
October 12, 2006 - November 15, 2006
MOELLER FINANCIAL ADVISORS
January 21, 2004 - January 2, 2009
SPC
January 2, 2004 - January 2, 2009
PARKLAND SECURITIES, LLC
May 21, 2003 - December 31, 2003
REGIS ASSET MANAGEMENT LLC
March 27, 2000 - December 31, 2003
REGIS SECURITIES CORPORATION
October 31, 1996 - April 10, 2000
VOYA FINANCIAL ADVISORS, INC.
February 10, 1995 - November 6, 1996
WOODBURY FINANCIAL SERVICES, INC.
March 21, 1988 - March 4, 1993
NYLIFE SECURITIES LLC
August 12, 1986 - December 31, 1987
VESTAX SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ADVOCATE WEALTH SOLUTIONS
CRD#: 152534 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 7,000,000 |
Red Flags
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