Michael M. Vanburen
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 Marsh Vanburen, who also goes by Mike Vanburen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2015 - November 5, 2015
NATIONAL PLANNING CORPORATION
April 18, 2013 - November 5, 2015
NATIONAL PLANNING CORPORATION
November 9, 2005 - July 18, 2006
MML INVESTORS SERVICES, LLC
October 12, 2005 - December 31, 2005
MML INVESTORS SERVICES, LLC
September 23, 2003 - October 16, 2003
OSAIC FA, INC.
July 9, 2003 - October 16, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 9, 2003 - October 16, 2003
OSAIC FA, INC.
January 19, 2000 - March 10, 2003
MUTUAL SERVICE CORPORATION
September 17, 1996 - November 1, 1999
SUNAMERICA SECURITIES, INC.
September 23, 1993 - April 11, 1995
MML INVESTORS SERVICES, LLC
September 15, 1992 - July 6, 1993
CETERA WEALTH SERVICES, LLC
July 3, 1991 - October 1, 1992
VOYA FINANCIAL ADVISORS, INC.
August 12, 1987 - July 3, 1991
VERAVEST INVESTMENTS, 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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 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.
