Michael R. Araluce
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 Raul Araluce, who also goes by Mike Raul Araluce, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2015 - January 29, 2016
GOLDEN STATE WEALTH MANAGEMENT, LLC
March 19, 2015 - March 3, 2016
LPL FINANCIAL LLC
December 13, 2012 - April 9, 2013
LPL FINANCIAL LLC
December 13, 2012 - April 9, 2013
LPL FINANCIAL LLC
April 11, 2012 - November 5, 2012
FIRST BROKERAGE AMERICA, L.L.C.
April 11, 2012 - November 5, 2012
FIRST BROKERAGE AMERICA, L.L.C.
November 1, 2011 - March 20, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
November 1, 2011 - March 20, 2012
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 2011 - October 24, 2011
STRATEGIC ADVISERS LLC
January 24, 2011 - October 21, 2011
FIDELITY BROKERAGE SERVICES LLC
April 22, 2009 - May 10, 2010
U.S. BANCORP ADVISORS, LLC
April 22, 2009 - May 10, 2010
U.S. BANCORP ADVISORS, LLC
July 21, 2006 - April 22, 2009
ESSEX NATIONAL SECURITIES, LLC
July 21, 2006 - April 22, 2009
ESSEX NATIONAL SECURITIES, LLC
November 1, 2000 - June 2, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 11, 2000 - June 2, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 16, 1999 - September 1, 2000
WAMU INVESTMENTS, INC.
March 30, 1998 - July 16, 1999
CAL FED INVESTMENTS
December 19, 1996 - April 9, 1998
ATLAS SECURITIES, LLC
January 13, 1995 - December 12, 1996
INTERFIRST CAPITAL CORPORATION
June 3, 1994 - July 8, 1994
IDS LIFE INSURANCE COMPANY
June 3, 1994 - July 8, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 1988 - December 15, 1992
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
GOLDEN STATE WEALTH MANAGEMENT, LLC
CRD#: 167995 / SEC#: 801-107445
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
GOLDEN STATE WEALTH MANAGEMENT, LLC
CRD#: 167995 / SEC#: 801-107445
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
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.
