Michael S. Spriggs
Professional summary
Michael Scott Spriggs is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Katy, Texas and BANKERS LIFE SECURITIES, INC. located in Katy, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Spriggs's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2023 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
July 27, 2023 - Present
BANKERS LIFE SECURITIES, INC.
August 27, 2021 - March 23, 2023
SCF SECURITIES, INC.
February 5, 2020 - March 23, 2023
SORRENTO PACIFIC FINANCIAL, LLC
February 5, 2020 - March 23, 2023
CUSO FINANCIAL SERVICES, L.P.
February 5, 2020 - March 23, 2023
CADARET, GRANT & CO., INC.
August 11, 2008 - March 23, 2023
NEXT FINANCIAL GROUP, INC.
September 24, 2002 - July 2, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
January 3, 2001 - September 25, 2002
ADVANTAGE CAPITAL CORPORATION
April 6, 2000 - December 31, 2000
ADVANTAGE CAPITAL CORPORATION
August 8, 1995 - October 6, 1999
ADVANTAGE CAPITAL CORPORATION
January 12, 1995 - August 30, 1995
INVESCO CAPITAL MARKETS, INC.
July 11, 1994 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/28/2023)
(8/11/2023)
(8/9/2023)
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(8/1/2023)
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(7/28/2023)
(7/31/2023)
(8/7/2023)
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(7/27/2023)
(8/29/2023)
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(8/2/2023)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
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