Michael I. Wiggins
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 Ignacio Wiggins was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2022 - July 22, 2022
NOESIS CAPITAL MANAGEMENT CORP
November 12, 2014 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2014 - May 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 7, 1999 - November 11, 2013
CHARLES SCHWAB & CO., INC.
September 7, 1999 - November 11, 2013
CHARLES SCHWAB & CO., INC.
February 20, 1997 - August 17, 1999
GAMMA CAPITAL SECURITIES, INC
March 26, 1992 - March 22, 1996
INVERWORLD SECURITIES, INC.
Primary Firm SEC Registration
NOESIS CAPITAL MANAGEMENT CORP
CRD#: 110819 / SEC#: 801-49934
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/6/2022
General Securities Representative ExaminationCurrent Firm
NOESIS CAPITAL MANAGEMENT CORP
CRD#: 110819 / SEC#: 801-49934
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 851 |
| AUM (Assets Under Management) | $ 876,873,175 |
Red Flags
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