Michael C. Koletar
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 Charles Koletar, who also goes by Mike Koletar, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
May 8, 2014 - December 31, 2019
DOMINION INVESTOR SERVICES, INC.
October 4, 2012 - February 4, 2014
LPL FINANCIAL LLC
October 4, 2012 - February 4, 2014
LPL FINANCIAL LLC
June 30, 2000 - September 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2000 - September 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 8, 1993 - July 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1990 - January 15, 1993
UBS FINANCIAL SERVICES INC.
February 13, 1990 - February 17, 1990
ROTAN MOSLE INC.
January 21, 1987 - March 12, 1990
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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| 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.
