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MD

Michael S. Davis

Some features on this profile are disabled
CRD#: 2007666
MD

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 Scott Davis was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 8, 2016 - December 21, 2016

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
ATLANTA, GA
Past

June 22, 2005 - August 31, 2010

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
ATLANTA, GA
Past

July 1, 2002 - June 21, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ATLANTA, GA
Past

June 15, 2002 - June 21, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 22, 2001 - June 15, 2002

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

July 23, 1996 - September 16, 1999

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/2016
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1996
General Securities Representative Examination

Current Firm

FF
FORESTERS FINANCIAL SERVICES, INC.
FIRST INVESTORS CORPORATION | FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305 / SEC#: , 8-13891

BD
Terminated by SEC on 10/24/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/07/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FORESTERS INVESTMENT MANAGEMENT COMPANY, INC.SHAREHOLDER
GANNON, FRANCIS XAVIERPRESIDENT AND CHIEF FINANCIAL OFFICER6181654
REILLY, ELIZABETH ANNSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER1428527

Disclosures

Regulatory Event34
Civil Event3
Arbitration18

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

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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