Michael L. Pickerill
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 Leonard Pickerill 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 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2013 - August 28, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 14, 2012 - August 28, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 3, 2011 - November 7, 2012
PNC WEALTH MANAGEMENT LLC
May 27, 2011 - November 7, 2012
PNC WEALTH MANAGEMENT LLC
May 17, 2007 - March 10, 2011
MML INVESTORS SERVICES, LLC
June 10, 2005 - May 18, 2007
NYLIFE SECURITIES LLC
February 24, 1992 - April 4, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
