Michelle L. Webb
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.
Michelle Louise Webb, who also goes by Michelle L Webb, Micki Webb, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1995. Michelle had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 1999 - June 6, 2000
LEGACY FINANCIAL SERVICES, INC.
March 9, 1999 - November 12, 1999
SAN CLEMENTE SECURITIES, INC.
August 24, 1998 - March 16, 1999
SUNSET FINANCIAL SERVICES, INC.
April 7, 1998 - August 24, 1998
SUNAMERICA SECURITIES, INC.
May 13, 1997 - March 18, 1998
BA INVESTMENT SERVICES, INC.
May 22, 1996 - April 18, 1997
LAWSON FINANCIAL CORPORATION
February 2, 1995 - May 30, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
