Michael A. Fisher
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 Alan Fisher, who also goes by Mike Alan Fisher, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2011 - April 24, 2013
CUNA BROKERAGE SERVICES, INC.
March 25, 2011 - April 24, 2013
CUNA BROKERAGE SERVICES, INC.
October 29, 2009 - March 11, 2011
INTL ADVISORY CONSULTANTS INC.
October 23, 2009 - March 11, 2011
STONEX SECURITIES INC.
June 14, 2005 - October 23, 2009
COLONIAL ASSET MANAGEMENT INC
June 10, 2005 - October 23, 2009
COLONIAL BROKERAGE, INC.
October 30, 2000 - June 12, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 30, 2000 - June 12, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 21, 2000 - October 20, 2000
BB&T INVESTMENT SERVICES, INC.
January 3, 1998 - July 25, 2000
CETERA INVESTMENT SERVICES LLC
December 18, 1997 - January 2, 1998
CAPITAL BROKERAGE CORPORATION
July 5, 1995 - December 15, 1997
CAPITAL BROKERAGE CORPORATION
October 14, 1994 - June 22, 1995
TRUIST INVESTMENT SERVICES, INC.
March 2, 1992 - October 7, 1994
CUNA BROKERAGE SERVICES, INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
