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MI

Mikal Ison-chestnut

Some features on this profile are disabled
CRD#: 2372591
MI

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.

Mikal Ison-chestnut, who also goes by Mikal Gerri Ison, Mikal Ison, Mikal Gerri Ison-chestnut, was a registered financial professional .

Mikal is a previously registered financial professional and started their career in finance in 2000. Mikal had worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mikal Gerri Ison | Mikal Ison | Mikal Gerri Ison-Chestnut

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

November 2, 2021 - January 4, 2023

ASPIRATION FINANCIAL LLC

BD
CRD#: 291904
MARINA DEL REY, CA
Past

March 18, 2019 - November 12, 2021

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PALM BEACH GARDENS, FL
Past

March 12, 2019 - November 12, 2021

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PALM BEACH GARDENS, FL
Past

July 22, 2014 - February 5, 2019

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
JACKSONVILLE, FL
Past

July 21, 2014 - February 5, 2019

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
JACKSONVILLE, FL
Past

December 23, 2011 - June 17, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHARLOTTE, NC
Past

April 20, 2011 - June 17, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

August 21, 2009 - November 15, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

September 21, 2007 - June 23, 2009

COLONIAL BROKERAGE, INC.

BD
CRD#: 111668
MONTGOMERY, AL
Past

October 10, 2006 - September 27, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
WASHINGTON, NC
Past

May 12, 2005 - May 30, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

December 9, 2003 - March 24, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

August 25, 2000 - December 19, 2001

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, 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
IAR
Series 66
Date: 12/22/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/29/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/24/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/21/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/7/2008
General Securities Principal Examination

Current Firm

AF
ASPIRATION FINANCIAL LLC
ASPIRATION FINANCIAL LLC

CRD#: 291904 / SEC#: , 8-70066

BD
Terminated by SEC on 07/24/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ASPIRATION PARTNERS, INC.SOLE MEMBER
BEATON, DANIEL STEWARTPRINCIPAL FINANCIAL OFFICER4240769
BERGIN, MATTHEW WILLIAMCHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER, CCO2287471

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

ASPIRATION FINANCIAL LLC

CRD#: 291904

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