Michael L. Frahm

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CRD#: 2578369

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.

Michael Lloyd Frahm, CFP®, who also goes by Mike Frahm, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 13 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 26 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Frahm

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®

CFP^®

Certified Financial Planner

Experience

Past

April 26, 2012 - September 24, 2012

MWA FINANCIAL SERVICES INC.

RIA

CRD#: 112630

MESA, AZ

Past

February 10, 2012 - September 24, 2012

MWA FINANCIAL SERVICES INC.

CRD#: 112630

MESA, AZ

Past

March 20, 2007 - November 4, 2008

OSAIC SERVICES, INC.

RIA

CRD#: 133763

PHOENIX, AZ

Past

March 20, 2007 - November 4, 2008

OSAIC SERVICES, INC.

CRD#: 133763

PHOENIX, AZ

Past

March 8, 2007 - April 3, 2007

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

MESA, AZ

Past

November 7, 2006 - April 11, 2007

WORLD GROUP SECURITIES, INC.

CRD#: 114473

MESA, AZ

Past

November 8, 2005 - November 2, 2006

PARKLAND SECURITIES, LLC

CRD#: 115368

CHANDLER, AZ

Past

July 6, 2005 - October 18, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - October 18, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

April 27, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

MESA, AZ

Past

April 18, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 26, 2004 - December 14, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 26, 2004 - December 14, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 15, 2004 - December 13, 2004

DEGREEN FINANCIAL, INC.

RIA

CRD#: 107582

SCOTTSDALE, AZ

Past

November 21, 2003 - April 12, 2004

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 26, 2002 - November 3, 2003

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

MESA, AZ

Past

August 15, 2002 - November 3, 2003

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 18, 1995 - August 7, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/2/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/20/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/11/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/9/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/18/2012

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2007

General Securities Principal Examination

Current Firm

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1701 1st Avenue, Rock Island, IL 61201

Mailing Address

1701 1st Avenue, Rock Island, IL 61201

Phone number

(309) 558-3100

Established

Illinois since 02/02/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

674

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MWAFS FORM CRS 7-2021 (3/31/2025)

MWAFS MANAGED ACCOUNTS BROCHURE PART 2A APPENDIX 1_3-28-2025 (3/31/2025)

MWAFS FINANCIAL PLANNING BROCHURE ADV PART 2A 3/28/2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MODERN WOODMEN OF AMERICA	PARENT CO.
BOHNERT, LESTER LEE	DIRECTOR	6933862
DOYLE, SHEA EUGENE	SECRETARY/DIRECTOR	4577202
EIGENBROD, NEIL THOMAS	FINOP	5615693
JENSEN, DAWN M	CHIEF OPERATIONS OFFICER	4936560
LYPHOUT, JERALD JAMES	DIRECTOR	4148959
POGEMILLER, CLINT JOSEPH	PRESIDENT/CHAIRMAN	2977743
RECH, KELLIE MARIE	CHIEF COMPLIANCE OFFICER	4863283
SIMMS, CHARLES EDMUND	DIRECTOR	2553306
SWANSON, TODD DAVID	TREASURER	4844282
VAN, BRETT MATTHEW	DIRECTOR	6543047

Regulatory assets under management

Total Number of Accounts	2,298
AUM (Assets Under Management)	$ 376,859,066

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael L. Frahm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MWA FINANCIAL SERVICES INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

PARKLAND SECURITIES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

DEGREEN FINANCIAL, INC.

SUNAMERICA SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

MWA FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/2012

Series 65

Date: 2/20/2002

Series 7

Date: 4/11/2012

Series 6

Date: 2/9/2012

Series 26

Date: 2/18/2012

Series 24

Date: 2/14/2007

Current Firm

MWA FINANCIAL SERVICES INC.

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MWA FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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