Michael S. Wesseln

SAN BLAS SECURITIES LLC

CHICAGO, IL 60606

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CRD#: 1702961

Professional summary

Michael Scott Wesseln, CFP® is a registered financial professional currently at SAN BLAS SECURITIES LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Michael Scott Wesseln's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 27, 2021 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606

CRD#: 290605

CHICAGO, IL

Past

November 2, 2018 - November 20, 2020

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SAN DIEGO, CA

Past

November 2, 2018 - November 20, 2020

OSAIC WEALTH, INC.

CRD#: 23131

SAN DIEGO, CA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

SAN DIEGO, CA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

SAN DIEGO, CA

Past

July 8, 1997 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SAN DIEGO, CA

Past

April 1, 1991 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

SAN DIEGO, CA

Past

November 2, 1989 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

August 14, 1987 - November 8, 1989

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/28/2021)

Idaho
(5/27/2021)

Nevada
(3/24/2022)

South Carolina
(8/4/2021)

Tennessee
(6/13/2022)

Exams

State Security Law Exam

Series 63

Date: 1/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SAN BLAS SECURITIES LLC

IFS CAPITAL MARKETS, LLC | SAN BLAS SECURITIES LLC

CRD#: 290605 / SEC#: , 8-70036

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

233 S Wacker Dr Suite 4400, Chicago, IL 60606

Mailing Address

3424 Peachtree Rd. Ne Suite 2200, Atlanta, GA 30326-1184

Phone number

(773) 661-4448

Established

Delaware since 04/13/2017

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
IFS GROUP, INC	DIRECT OWNER
CARTER, ANA ROUMENOVA	FINOP	4424794
PADILLA, DANIEL JR	CCO	3123672
PADILLA, DANIEL JR	CEO	3123672

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.

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Firm Stability Insights

Michael S. Wesseln

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Scott Wesseln's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

ARM SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 6

Date: 8/13/1987

Series 24

Date: 4/30/1992

FINRA

Current Firm

SAN BLAS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SAN BLAS SECURITIES LLC

TRUST BUT VERIFY

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