Michael E. Collins
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 Edward Collins, who also goes by Mike Collins, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2026 - June 4, 2026
KWM PARTNERS LLC
June 1, 2021 - May 1, 2026
TRAJAN WEALTH, L.L.C.
July 3, 2020 - June 7, 2021
HUB INVESTMENT PARTNERS, LLC
May 7, 2020 - December 8, 2020
TCG ADVISORS, LP
May 16, 2019 - March 11, 2020
LPL FINANCIAL LLC
May 16, 2019 - March 11, 2020
LPL FINANCIAL LLC
October 31, 2014 - May 29, 2019
CHARLES SCHWAB & CO., INC.
October 23, 2014 - May 29, 2019
CHARLES SCHWAB & CO., INC.
September 23, 2013 - October 14, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 23, 2013 - October 14, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 2, 2012 - September 12, 2013
MORGAN STANLEY
March 29, 2012 - September 12, 2013
MORGAN STANLEY
January 3, 2011 - March 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 22, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 29, 2003 - July 14, 2008
CHARLES SCHWAB & CO., INC.
January 18, 1996 - July 14, 2008
CHARLES SCHWAB & CO., INC.
August 4, 1994 - November 16, 1995
D.E. FREY & COMPANY, INC.
June 18, 1993 - August 5, 1994
R.K. STEELE
June 5, 1992 - June 11, 1993
STRATEGIC RESOURCE MANAGEMENT, INC.
September 16, 1991 - May 21, 1992
H.J. MEYERS & CO., INC.
September 9, 1991 - September 27, 1991
IDS LIFE INSURANCE COMPANY
September 9, 1991 - September 27, 1991
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
Series 8
Date: 3/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KWM PARTNERS LLC
CRD#: 334428 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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