Michael B. Felix
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 Brennan Felix, who also goes by Michael B Felix, Mike B Felix, Mike Brennan Felix, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 10 firms and has passed the Series 65, 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
May 5, 2014 - March 6, 2026
EDELMAN FINANCIAL ENGINES
December 23, 2011 - April 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2011 - April 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2010 - September 19, 2011
CHARLES SCHWAB & CO., INC.
November 19, 2004 - August 20, 2010
WELLS FARGO INVESTMENTS, LLC
January 8, 2003 - December 4, 2004
WAMU INVESTMENTS, INC.
September 6, 1995 - December 20, 2002
CHARLES SCHWAB & CO., INC.
May 19, 1994 - August 16, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 16, 1993 - December 14, 1993
FIRST ASSET MANAGEMENT, INC.
January 7, 1992 - March 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
December 2, 1991 - January 15, 1992
FRANKLIN-LORD, INC.
August 6, 1991 - November 27, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
