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ML

Michael W. Losse

WILLOW COVE INVESTMENT GROUP
Winneconne, WI 54986
Some features on this profile are disabled
CRD#: 1907236
ML

Professional summary

Michael William Losse is a registered financial professional currently at WILLOW COVE INVESTMENT GROUP, INC. located in Winneconne, Wisconsin.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 9, Series 14, Series 10, Series 24 and Series 8 exams.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael William Losse's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 7, 2001 - Present

WILLOW COVE INVESTMENT GROUP, INC.

Office #1: 5887 T Bar Lane, Winneconne, WI 54986
BD
CRD#: 107824
Winneconne, WI
Past

July 13, 2012 - November 12, 2012

R.W. TOWT & ASSOCIATES

RIA
CRD#: 128837
SAN DIEGO, CA
Past

July 9, 2012 - November 12, 2012

R.W. TOWT & ASSOCIATES

BD
CRD#: 128837
SAN DIEGO, CA
Past

October 28, 1998 - April 25, 2001

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

BD
CRD#: 42949
SAN DIEGO, CA
Past

April 13, 1995 - October 23, 1998

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
NEWPORT BEACH, CA
Past

August 18, 1994 - March 31, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

July 15, 1992 - July 14, 1994

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

December 20, 1988 - July 29, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(5/28/2014)
RR
California
(5/7/2001)
RR
Florida
(5/25/2001)
RR
Texas
(7/23/2001)
RR
Wisconsin
(1/3/2002)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/29/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

WC
WILLOW COVE INVESTMENT GROUP, INC.
WILLOW COVE INVESTMENT GROUP, INC.

CRD#: 107824 / SEC#: , 8-53062

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
5887 T Bar Lane, Winneconne, WI 54986
Mailing Address
5887 T Bar Lane, Winneconne, WI 54986
Phone number
(858) 404-0677
Established
California since 03/18/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
L M SQUARED INVESTMENTS, LLCSHAREHOLDER
FRAGER, MICHAEL RAYMONDOWNER1230622
LOSSE, MICHAEL WILLIAMPRES/CEO/COO/CCO1907236
RACH, LYNNE MARIEVP, FINOP & RP1723996

Disclosures

Regulatory Event1

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.

Company Information

WILLOW COVE INVESTMENT GROUP, INC.

CRD#: 107824Winneconne, WI 54986

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