Michael A. Bressler
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 Alan Bressler, who also goes by Mike Bressler, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 8 firms and has passed the Series 63, Series 3 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
August 2, 2010 - February 21, 2013
LINCOLN INVESTMENT
September 23, 2002 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
December 11, 1997 - August 28, 2002
VALIC FINANCIAL ADVISORS, INC.
March 28, 1990 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
April 3, 1989 - January 29, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 2, 1988 - March 9, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
February 15, 1988 - October 31, 1988
LEHMAN BROTHERS INC.
August 25, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
