Michael A. Wasz
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 Allen Wasz, CIMA® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2023 - September 3, 2025
WEALTHFORGE SECURITIES, LLC
September 17, 2019 - August 9, 2022
IMST DISTRIBUTORS, LLC
December 3, 2009 - May 30, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 26, 2007 - May 30, 2019
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
March 18, 1993 - March 26, 2007
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
November 27, 1987 - March 20, 1993
CALAMOS FINANCIAL SERVICES LLC
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
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| 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.
