Michael J. Crane
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 Joseph Crane was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 18 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 55, Series 6, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2019 - July 2, 2021
CETERA WEALTH SERVICES, LLC
May 14, 2019 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
May 14, 2019 - July 2, 2021
FIRST ALLIED SECURITIES, INC.
May 14, 2019 - July 2, 2021
CETERA INVESTMENT SERVICES LLC
May 14, 2019 - July 2, 2021
CETERA FINANCIAL SPECIALISTS LLC
May 14, 2019 - July 2, 2021
CETERA ADVISORS LLC
May 14, 2019 - July 2, 2021
CETERA WEALTH SERVICES, LLC
May 11, 2016 - March 7, 2019
QUESTAR ASSET MANAGEMENT, INC.
May 6, 2016 - March 7, 2019
QUESTAR CAPITAL CORPORATION
July 20, 2015 - April 21, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 8, 2015 - April 21, 2016
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 26, 2012 - December 21, 2012
VELOCITY CLEARING, LLC
April 6, 2006 - September 25, 2008
BRASHEAR BROKERAGE L.L.C.
September 3, 2004 - March 10, 2010
BRASHEAR TRADING L.L.C.
September 26, 2003 - August 24, 2004
XTF MARKET MAKING LLC
February 25, 2000 - January 2, 2003
CROWN FINANCIAL GROUP, INC.
May 24, 1999 - February 16, 2000
A. GARY SHILLING & CO., INC.
October 29, 1998 - January 11, 1999
METROPOLITAN LIFE INSURANCE COMPANY
October 29, 1998 - January 11, 1999
MSI FINANCIAL SERVICES, INC.
August 16, 1996 - September 13, 1996
HENNION & WALSH, 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
Exams
Series 7TO
Date: 4/29/2024
General Securities Representative ExaminationSeries 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
