Michael A. Tarver
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 A Tarver, who also goes by Alan Tarver, Michael Alan Tarver, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 87, 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
April 13, 2018 - April 18, 2019
FROST INVESTMENT SERVICES
March 23, 2018 - April 18, 2019
FROST BROKERAGE SERVICES, INC.
August 21, 2009 - December 31, 2016
FROST INVESTMENT ADVISORS, LLC
April 10, 2006 - January 23, 2009
FROST BROKERAGE SERVICES, INC.
May 7, 1996 - July 24, 1996
BLOCK TRADING INC.
October 26, 1995 - April 12, 1996
BANC ONE SECURITIES CORPORATION
February 4, 1993 - November 8, 1994
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
