Michael L. Perhne
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 Leslie Perhne, CFP®, who also goes by Michael L Perhne, Michael Perhne, 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, Series 7TO, SIE, Series 7 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
July 15, 2021 - July 17, 2026
VANGUARD ADVISERS, INC.
June 2, 2021 - July 17, 2026
VANGUARD MARKETING CORPORATION
July 2, 2018 - February 11, 2020
ALPHASTAR CAPITAL MANAGEMENT
December 5, 2016 - May 2, 2018
STRATEGIC WEALTH PARTNERS, LTD.
March 4, 2015 - November 16, 2016
PROSPERITY CAPITAL ADVISORS
July 22, 2010 - November 12, 2012
STRATEGIC WEALTH PARTNERS, LTD.
November 4, 2002 - November 19, 2003
CHARLES SCHWAB & CO., INC.
January 4, 1991 - November 19, 2003
CHARLES SCHWAB & CO., INC.
October 25, 1989 - April 16, 1990
IDS LIFE INSURANCE COMPANY
October 25, 1989 - April 16, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 7TO
Date: 6/2/2021
General Securities Representative ExaminationSeries 8
Date: 5/5/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
