MB
Michael F. Bolen
UNITED BROKERAGE SERVICES
Arlington, VA 22207
Some features on this profile are disabled
CRD#: 2334043
MB
Professional summary
Michael Fillers Bolen, who also goes by Mike Bolen, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Arlington, Virginia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Bolen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Fillers Bolen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Fillers Bolen'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®
NoneExperience
Current
February 7, 2014 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 5350 Lee Highway, Arlington, VA 22207Office #2: 1737 King Street, Alexandria, VA 22314RIA
BD
CRD#: 39062
Arlington, VA
Current
February 7, 2014 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 5350 Lee Highway, Arlington, VA 22207Office #2: 1737 King Street, Alexandria, VA 22314RIA
BD
CRD#: 39062
Arlington, VA
Past
March 23, 2010 - March 6, 2014
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
ARLINGTON, VA
Past
March 23, 2010 - March 6, 2014
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
ARLINGTON, VA
Past
June 4, 2003 - March 25, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
VIENNA, VA
Past
June 3, 2003 - March 25, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
VIENNA, VA
Past
October 1, 2000 - January 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 12, 2000 - January 27, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WASHINGTON, DC
Past
December 24, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
April 13, 1993 - September 18, 1995
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(6/12/2025)
RR
Arizona(2/7/2014)
RR
California(2/28/2018)
RR
Delaware(5/14/2020)
RR
District of Columbia(3/7/2014)
IAR
District of Columbia(3/11/2014)
RR
Florida(2/7/2014)
RR
Georgia(2/19/2014)
RR
Hawaii(7/11/2016)
IAR
Hawaii(7/11/2016)
RR
Idaho(4/20/2023)
RR
Kansas(3/15/2022)
RR
Louisiana(2/7/2014)
RR
Maine(3/1/2019)
RR
Maryland(2/7/2014)
IAR
Maryland(2/14/2014)
RR
Missouri(12/15/2021)
RR
New Jersey(10/16/2017)
RR
New Mexico(9/15/2022)
RR
New York(2/7/2014)
RR
North Carolina(2/7/2014)
RR
Pennsylvania(2/7/2014)
RR
South Carolina(2/7/2014)
RR
Tennessee(5/2/2019)
RR
Texas(10/29/2021)
RR
Utah(2/7/2014)
RR
Virginia(2/7/2014)
IAR
Virginia(3/6/2014)
RR
Washington(2/7/2014)
RR
West Virginia(4/13/2020)
RR
Wyoming(6/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
