Michael R. Flooks
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 Raymond Flooks, who also goes by Mike Flooks, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2023 - November 6, 2025
CREWS & ASSOCIATES, INC.
May 17, 2022 - June 16, 2023
MISCHLER FINANCIAL GROUP, INC.
April 22, 2022 - May 23, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 14, 2015 - April 22, 2022
VINING-SPARKS IBG, LLC
September 28, 2009 - April 9, 2015
CRT CAPITAL GROUP LLC
November 6, 2006 - June 10, 2009
NATCITY INVESTMENTS, INC.
December 14, 2000 - October 19, 2006
AMHERST SECURITIES GROUP, L.P.
February 8, 2000 - August 25, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
February 24, 1999 - February 8, 2000
SPIRES FINANCIAL, L.P.
May 13, 1997 - December 2, 1998
NATWEST MARKETS SECURITIES INC.
June 8, 1994 - September 17, 1996
PERSHING LLC
April 22, 1993 - June 21, 1994
KIDDER, PEABODY & CO. INCORPORATED
May 25, 1988 - April 13, 1993
JPMSI
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| 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.
