Michael W. Adams
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 Adams was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1986. Michael had worked at 5 firms and has passed the Series 63 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
November 10, 2011 - August 20, 2012
GREAT CIRCLE FINANCIAL
January 1, 2008 - October 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - April 2, 2004
A. G. EDWARDS & SONS, INC.
February 20, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 2, 1993 - February 22, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 19, 1986 - July 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
GREAT CIRCLE FINANCIAL
CRD#: 8658 / SEC#: , 8-25898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PANCAKE, DANIEL LEE | PRESIDENT/PRINCIPAL/CCO | 355836 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
