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Michael K. Cullen

Some features on this profile are disabled
CRD#: 1673778
MC

Professional summary

Michael Kevin Cullen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 4 firms, which includes FFP SECURITIES INC., WALNUT STREET SECURITIES INC., PLANNED INVESTMENTS INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Cullen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 22, 1992 - October 12, 1998

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

January 2, 1992 - May 26, 1992

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

April 18, 1991 - December 31, 1991

PLANNED INVESTMENTS INC.

BD
CRD#: 5066
ATLANTA, GA
Past

June 26, 1987 - July 12, 1989

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/25/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 6/25/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FS
FFP SECURITIES, INC.
FFP SECURITIES, INC.

CRD#: 16337 / SEC#: , 8-33728

BD
Terminated by SEC on 08/08/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 02/21/1985
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVANCED EQUITIES FINANCIAL CORP.100% OWNERSHIP
DOZA, JANICE MCFO4663841
FINDALL, LINDA SUESROP1187842
FRIEDMAN, TIMOTHY NATHANCROP1967603
HAEDIKE, CHRISTINE DCCO, DIRECTOR, FFP SECURITIES, INC.2489703
HATTON, ROBERT ALLANCHIEF OPERATING OFFICER1985166
JUNKINS, CRAIG ALLENCEO/PRESIDENT/CHAIRMAN OF THE BOARD830565
RODERMUND, ROBIN HENRYDIRECTOR, FFP SECURITIES, INC.2097379
YANNAKAKIS, ANNE KANELACHIEF LEGAL OFFICER4197441

Disclosures

Regulatory Event38
Arbitration10
Bond1

Red Flags

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Company Information

FFP SECURITIES, INC.

CRD#: 16337

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