Michael R Flooks
Professional Summary
Michael R Flooks, who also goes by Michael Raymond Flooks, Mike Flooks, is a registered financial advisor currently at DV SECURITIES, LLC located in Chicago, Illinois. Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Raymond Flooks, Mike Flooks
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
DV SECURITIES, LLC
Contact Information
Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605Phone Number
(312) 837-0649Established
Delaware since 05/26/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(11/18/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael R Flooks's CRS (Customer Relationship Summary).
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