Michael J. Buchholz

SAMMONS FINANCIAL NETWORK

West Des Moines, IA 50266

Some features on this profile are disabled

CRD#: 2330979

Professional summary

Michael John Buchholz, who also goes by Mike Buchholz, is a registered financial professional currently at SAMMONS FINANCIAL NETWORK, LLC located in West Des Moines, Iowa.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Buchholz

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) - BD

Click below to view Michael John Buchholz's CRS (Customer Relationship Summary).

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

Current

January 31, 2017 - Present

SAMMONS FINANCIAL NETWORK, LLC

Office #1: 8300 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 158538

West Des Moines, IA

Past

November 18, 2015 - January 3, 2017

SIERRA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106615

Chanhassen, MN

Past

October 8, 2015 - January 3, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 23, 2011 - August 4, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

January 26, 2011 - August 4, 2015

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

CHANHASSEN, MN

Past

November 26, 2009 - December 15, 2010

DIRECTED SERVICES LLC

RIA

CRD#: 21675

EXCELSIOR, MN

Past

May 22, 2006 - December 15, 2010

DIRECTED SERVICES LLC

CRD#: 21675

EXCELSIOR, MN

Past

July 26, 2000 - September 6, 2000

ING FUNDS DISTRIBUTOR, INC.

CRD#: 36461

WILMINGTON, DE

Past

July 21, 2000 - May 18, 2006

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

July 21, 1994 - July 17, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 19, 1993 - July 27, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Minnesota
(1/31/2017)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/7/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/16/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/31/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8300 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

8300 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(855) 624-0180

Established

Delaware since 06/09/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SAMMONS SECURITIES, INC.	MANAGING MEMBER/ELECTED MANAGER
DYKHUIS, ARLEN GLENN	FINOP PRINCIPAL	5285074
LOWE, BILL LEO	PRESIDENT	2328135
SURETTE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	5217627

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.

Similar Advisors

Rajpreet Sangha

PRINCIPAL SECURITIES, INC.

IAR

Tracy, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Buchholz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Buchholz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIERRA INVESTMENT MANAGEMENT, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

WBI INVESTMENTS, LLC

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

ING FUNDS DISTRIBUTOR, INC.

DIRECTED SERVICES LLC

LOCUST STREET SECURITIES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2009

Series 63

Date: 4/28/1993

SIE

Date: 10/1/2018

Series 31

Date: 5/7/1993

Series 7

Date: 4/16/1993

Series 26

Date: 12/31/2003

FINRA

Current Firm

SAMMONS FINANCIAL NETWORK, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SAMMONS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

Similar Advisors