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Michael Terrence Snedeker

CRD# 2811809·Registered 1996 - 2015
Barred: Michael Terrence Snedeker was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael Terrence Snedeker, who also goes by Michael T Snedeker, was a registered financial advisor. Michael was a previously registered financial advisor and started their career in finance 1996 - 2015. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael T Snedeker

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

INVESTORS CAPITAL CORP.·CRD# 30613
RIA
Waltham, MA
February 27, 2006 - July 13, 2015
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Waltham, MA
February 24, 2006 - July 13, 2015
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
RIA
Waltham, MA
October 20, 2004 - February 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
October 20, 2004 - February 22, 2006
QUICK & REILLY, INC.·CRD# 11217
RIA
Waltham, MA
September 7, 2004 - October 20, 2004
QUICK & REILLY, INC.·CRD# 11217
BD
New York, NY
February 27, 2002 - October 20, 2004
FIS SECURITIES, INC.·CRD# 30533
BD
Boston, MA
February 29, 2000 - May 29, 2000
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
May 1, 1997 - February 29, 2000
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
Boston, MA
November 20, 1996 - April 25, 1997
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
November 20, 1996 - April 25, 1997

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Current Firm

IC
INVESTORS CAPITAL CORP.

INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054
BD
Terminated by SEC on 01/17/2017

Contact Information

Established

Massachusetts since 07/06/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER—
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event

22

Arbitration

11

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2002About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1996About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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