ME

Michael W. Evans

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CRD#: 1726255
ME

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


Are you a "fiduciary"?
No

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

May 3, 2007 - February 23, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
ISLANDIA, NY
Past

April 10, 2007 - February 23, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
ISLANDIA, NY
Past

June 6, 2003 - November 13, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
RIVERHEAD, NY
Past

March 19, 1998 - June 12, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
WESTPORT, CT
Past

February 13, 1998 - June 12, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 29, 1994 - February 25, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 11, 1992 - September 7, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 31, 1988 - September 15, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam

Current Firm


WI
WAMU INVESTMENTS, INC.
MURPHEY FAVRE, INC. | WM FINANCIAL SERVICES, INC. | WAMU INVESTMENTS, INC.

CRD#: 599 / SEC#: , 8-3641

BD
Terminated by SEC on 07/19/2009
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Contact information


Main Address
Mailing Address
Phone number
Established
Washington since 06/12/1944
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC.DIRECT OWNER
CECILIO, ROBERT MARCDIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER1539928
CHABOT, ALAN JAMESDIRECTOR2617874
HENRY, J. CHRISTOPHERDIRECTOR5591455
PERSONS, AARON MATTHEWFIRST VICE PRESIDENT2216151
RHEE, LISA HAMMONDFINOP3251733
WILBURN, DOUGLAS FREDERICKSENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER1407686

Disclosures


Regulatory Event13
Arbitration18

Red Flags


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Company Information


WAMU INVESTMENTS, INC.

CRD#: 599

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