Michael G. Junck
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 George Junck, who also goes by Michael Junck, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE 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
October 16, 2020 - December 31, 2021
CETERA INVESTMENT ADVISERS LLC
October 14, 2010 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
October 27, 2006 - December 31, 2021
FIRST ALLIED SECURITIES, INC.
August 25, 2006 - October 26, 2006
GREENBOOK SECURITIES, INC.
September 24, 2004 - December 31, 2004
XELAN FINANCIAL PLANNING, INC.
September 24, 2004 - October 19, 2010
GREENBOOK INVESTMENT MANAGEMENT, INC.
April 6, 2004 - July 26, 2004
XELAN FINANCIAL PLANNING, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
