Michael J. Tangen
Professional summary
Michael John Tangen, who also goes by Mike Tangen, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Blue Grass, Iowa.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Tangen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2017 - Present
LOMBARD SECURITIES INCORPORATED
June 22, 2017 - January 4, 2023
LOMBARD ADVISERS INCORPORATED
July 14, 2015 - June 1, 2017
BFC PLANNING, INC.
July 13, 2015 - June 1, 2017
SECURITIES MANAGEMENT & RESEARCH, INC.
January 4, 2013 - July 16, 2015
PRINCIPAL SECURITIES, INC.
December 18, 2012 - July 16, 2015
PRINCIPAL SECURITIES, INC.
May 5, 2010 - December 20, 2012
AUSDAL FINANCIAL PARTNERS, INC.
April 29, 2010 - December 20, 2012
AUSDAL FINANCIAL PARTNERS, INC.
July 31, 2008 - December 18, 2009
VOYA FINANCIAL ADVISORS, INC.
July 7, 2008 - December 18, 2009
VOYA FINANCIAL ADVISORS, INC.
August 30, 2000 - July 23, 2008
PRINCIPAL SECURITIES, INC.
September 26, 1994 - July 23, 2008
PRINCIPAL SECURITIES, INC.
June 28, 1994 - September 21, 1994
IDS LIFE INSURANCE COMPANY
June 28, 1994 - September 21, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/29/2021)
(9/16/2022)
(1/3/2018)
(6/19/2017)
(4/4/2024)
(1/20/2023)
(1/19/2018)
(6/18/2020)
(7/14/2020)
(1/3/2018)
(4/21/2022)
Exams
FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
