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MW

Michael A. Willis

Some features on this profile are disabled
CRD#: 2268680
MW

Professional summary

Michael Ashby Willis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Michael had worked at 1 firm, which includes WACHOVIA SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael A Willis

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

September 18, 1992 - November 10, 1997

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

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
IAR
Series 65
Date: 1/18/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 4/12/1994
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1992
General Securities Representative Examination

Current Firm

WS
WACHOVIA SECURITIES, INC.
INTERSTATE SECURITIES CORPORATION | WACHOVIA SECURITIES, INC. | INTERSTATE/JOHNSON LANE CORPORATION

CRD#: 431 / SEC#: , 8-2612

BD
Terminated by SEC on 08/16/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 03/28/1932
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WACHOVIA CORPORATIONPARENT COMPANY
BULLARD, LORI JONASSROP/SENIOR VICE PRESIDENT1587297
FIRENZE, STEVEN ANTHONYCROP/CCO1625122
HEARN, MICHAEL DEANCLO/SENIOR MANAGING DIRECTOR835376
KNIEJSKI, ROBERT STEVENEXECUTIVE VICE PRESIDENT2560066
WAGSTAFF, CONNER FRED IIICFO1427591

Disclosures

Regulatory Event31
Civil Event3
Arbitration18
Bond1

Red Flags

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Company Information

WACHOVIA SECURITIES, INC.

CRD#: 431

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