Michael W. Evans
Professional summary
Michael Wayne Evans 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 advisor and started their career in finance in 1988. Prior to being barred, Michael had worked at 4 firms, which includes WAMU INVESTMENTS INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2007 - February 23, 2009
WAMU INVESTMENTS, INC.
April 10, 2007 - February 23, 2009
WAMU INVESTMENTS, INC.
June 6, 2003 - November 13, 2006
CITIGROUP GLOBAL MARKETS INC.
March 19, 1998 - June 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1998 - June 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 29, 1994 - February 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 1992 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
October 31, 1988 - September 15, 1992
CITIGROUP GLOBAL MARKETS 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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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