Michael B. Niland
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 Brink Niland, who also goes by Mike Niland, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 4 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
January 16, 2012 - April 27, 2012
MCNALLY FINANCIAL SERVICES CORPORATION
August 22, 2008 - December 31, 2009
MCNALLY FINANCIAL SERVICES CORPORATION
January 12, 1999 - August 23, 2006
CHOICE INVESTMENTS, INC.
December 20, 1996 - November 3, 1998
CHOICE INVESTMENTS, INC.
January 21, 1992 - January 3, 1995
CHOICE INVESTMENTS, INC.
November 22, 1989 - January 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1986 - December 11, 1987
LEHMAN BROTHERS 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
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
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.
