Michael H. Koster

ALLY INVEST SECURITIES LLC

Charlotte, NC 28202

Some features on this profile are disabled

CRD#: 2825386

Professional summary

Michael Henry Koster, who also goes by Mike Koster, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 16 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Koster

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) - BD

Click below to view Michael Henry Koster's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 20, 2021 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202

CRD#: 136131

Charlotte, NC

Past

September 29, 2020 - November 1, 2021

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

September 16, 2016 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

CHARLOTTE, NC

Past

December 7, 2015 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

September 16, 2014 - November 24, 2015

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHARLOTTE, NC

Past

October 20, 2005 - June 17, 2014

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671

CHARLOTTE, NC

Past

August 10, 2004 - October 20, 2005

SWISS AMERICAN SECURITIES INC.

CRD#: 7973

NEW YORK, NY

Past

April 26, 2004 - August 6, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 26, 2004 - August 6, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 26, 2004 - August 6, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 26, 2004 - August 6, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 6, 2003 - December 19, 2003

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

April 30, 2002 - August 5, 2003

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

October 7, 1998 - May 21, 2001

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

October 16, 1997 - September 25, 1998

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

Past

January 28, 1997 - March 17, 1997

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(12/21/2021)

Exams

State Security Law Exam

Series 63

Date: 2/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/31/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/24/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/22/2000

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST SECURITIES LLC

ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

601 S Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

P.o. Box 30248, Charlotte, NC 28230

Phone number

(855) 880-2559

Established

Delaware since 08/23/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLY INVEST GROUP INC.	OWNER
LIETKE, FRANK GREGORY	PRESIDENT	6900716
MARTIN, ALEX MICHAEL	PRINCIPAL FINANCIAL OFFICER	5639666
POWELL, BENJAMIN TRACY	PRINCIPAL OPERATIONS OFFICER	2438200
SYKES, ROBERT CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2775993

Disclosures

Regulatory Event	2
Arbitration	1

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael H. Koster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Henry Koster's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

PERSHING ADVISOR SOLUTIONS LLC

SWISS AMERICAN SECURITIES INC.

WALNUT STREET SECURITIES, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

OGILVIE SECURITY ADVISORS CORPORATION

SII INVESTMENTS, INC.

HARRISDIRECT LLC

SUMMIT FINANCIAL SERVICES GROUP, INC.

A.S. GOLDMEN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/1997

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/31/2000

Series 7

Date: 1/24/1997

Series 24

Date: 8/4/2000

Series 4

Date: 5/22/2000

FINRA

Current Firm

ALLY INVEST SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLY INVEST SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors