Michael E. Steele
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 Earl Steele, who also goes by Mike Steele, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 8 firms and has passed the 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
July 20, 2010 - July 7, 2021
IC ADVISORY SERVICES, INC.
July 16, 2010 - July 7, 2021
THE INVESTMENT CENTER, INC.
March 7, 2003 - July 20, 2010
NEXT FINANCIAL GROUP, INC.
March 7, 2003 - July 20, 2010
NEXT FINANCIAL GROUP, INC.
December 31, 2001 - March 13, 2003
FFP ADVISORY SERVICES INC
October 23, 1998 - March 13, 2003
FFP SECURITIES, INC.
July 16, 1997 - October 27, 1998
TOWER SQUARE SECURITIES, INC.
January 24, 1989 - July 1, 1997
IDS LIFE INSURANCE COMPANY
January 24, 1989 - July 1, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
