Michael J. Belic
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 John Belic was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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 17, 2021 - September 26, 2022
SECURIAN FINANCIAL SERVICES, INC.
February 11, 2021 - May 11, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 1, 2016 - February 4, 2021
COREBRIDGE CAPITAL SERVICES, INC.
January 21, 2016 - May 9, 2016
PRUCO SECURITIES, LLC.
June 14, 2013 - January 13, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
June 14, 2013 - January 13, 2016
ALLSTATE FINANCIAL SERVICES, LLC
March 23, 2012 - March 26, 2013
EQUITABLE ADVISORS, LLC
March 22, 2012 - March 26, 2013
EQUITABLE ADVISORS, LLC
June 11, 2008 - March 12, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
July 13, 2006 - March 9, 2012
ALLSTATE FINANCIAL SERVICES, LLC
March 4, 2005 - June 14, 2006
EQUITABLE ADVISORS, LLC
January 7, 2004 - June 14, 2006
EQUITABLE ADVISORS, LLC
March 28, 2003 - September 4, 2003
CITIZENS SECURITIES, INC.
November 28, 2001 - June 21, 2002
QUICK & REILLY, INC.
May 3, 1999 - November 19, 2001
NATCITY INSURANCE SERVICES, INC.
April 30, 1999 - November 19, 2001
NATCITY INVESTMENTS, INC.
August 28, 1998 - April 1, 1999
PNC BROKERAGE CORP
August 7, 1997 - August 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1997 - May 14, 1997
CINCINNATI ANALYSTS, 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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
