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Michael Walesby Davis

CRD# 2048848·Registered 1990 - 1996
Barred: Michael Walesby Davis was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael Walesby Davis, who also goes by Mike Davis, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1990 - 1996. Michael had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Davis

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

36 years registered in the securities industry

Current & Past Employments

Past

WELLINGTON ASHFORD CAPITAL, INC.Past·CRD# 29298
BD
Louisvile, CO
June 11, 1996 - December 24, 1996
SPECTRUM SECURITIES, INC.Past·CRD# 29305
BD
Aroura Hills, CA
September 15, 1995 - March 19, 1996
AMERINATIONAL FINANCIAL SERVICES, INC.Past·CRD# 27986
BD
September 23, 1993 - January 1, 1994
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.Past·CRD# 13741
BD
El Paso, TX
January 18, 1993 - November 1, 1993
H.J. MEYERS & CO., INC.Past·CRD# 15609
BD
Rochester, NY
September 10, 1992 - October 7, 1992
CHADWICK FINANCIAL GROUP, INC.Past·CRD# 15368
BD
February 14, 1992 - July 8, 1992
UNITED INTERNATIONAL SECURITIES, INC.Past·CRD# 27528
BD
October 25, 1991 - November 6, 1991
THE CAMDEN GROUPPast·CRD# 21386
BD
July 23, 1990 - October 22, 1991
CHATFIELD DEAN & CO., INC.Past·CRD# 14714
BD
Greenwood Village, CO
April 24, 1990 - July 11, 1990

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Current Firm

WA
WELLINGTON ASHFORD CAPITAL, INC.

BJDC SECURITIES CORPORATION | WELLINGTON ASHFORD CAPITAL, INC.

CRD#: 29298 / SEC#: 8-44227
BD
Cancelled by SEC on 02/26/1997

Contact Information

Established

Texas since 10/11/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1990About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1990About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1992About the Series 24 exam

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CRS (Client Relationship Summary)

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

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