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Michael D. Mcalpine

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CRD#: 2229911
MM

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 Duane Mcalpine, who also goes by Michael Duane Alpine Mc, Mike Mcalpine, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Duane Alpine Mc | Mike Mcalpine

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 27, 2006 - October 12, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
SIOUX CENTER, IA
Past

March 12, 1998 - February 7, 2002

STANNARD FINANCIAL SERVICES, LLC

BD
CRD#: 44371
PIPESTONE, MN
Past

November 3, 1997 - February 3, 1998

ARM SECURITIES CORPORATION

BD
CRD#: 932
MINOT, ND
Past

October 2, 1995 - October 8, 1997

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

October 3, 1994 - October 2, 1995

JM DISSOLUTION, INC.

BD
CRD#: 6980
ST. PAUL, MN
Past

September 15, 1993 - October 3, 1994

FINTEGRA, LLC

BD
CRD#: 16741
MINNEAPOLIS, MN
Past

April 20, 1992 - July 14, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

April 20, 1992 - July 14, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/3/1997
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/1997
General Securities Principal Examination

Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.
BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: , 8-24220

BD
Terminated by SEC on 02/07/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/14/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

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