Michael L. Schramm
Professional summary
Michael Lynn Schramm, who also goes by Michael Lynn Shramm, is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 31, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Lynn Schramm's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2025 - Present
FIDELITY & GUARANTY SECURITIES, LLC
Office #1: 801 Grand Ave. Suite 2600, Des Moines, IA 50309May 20, 2024 - December 10, 2024
ASCENSUS BROKER DEALER SERVICES, LLC
September 8, 2014 - February 15, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
October 19, 2007 - August 20, 2014
BNY MELLON SECURITIES CORPORATION
May 9, 2001 - August 20, 2014
BNY MELLON SECURITIES CORPORATION
November 5, 1996 - April 27, 2001
CONSECO EQUITY SALES, INC.
May 17, 1995 - September 12, 1996
CAPITAL CLIENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2025)
(1/6/2025)
(1/6/2025)
Exams
FINRA
Current Firm
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
Red Flags
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Company Information
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720Des Moines, IA 50309TRUST BUT VERIFY
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