MS
Michael E. Sheets
OSAIC INSTITUTIONS
Morton, IL 61550
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CRD#: 2860384
MS
Professional summary
Michael Edward Sheets, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Morton, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
MORTON COMMUNITY BANK LOCATED AT 721 W. JACKSON ST. STREET MORTON, IL . BANKING AND INVESTMENT RELATED BUSINESS WITH NETWORKING AGREEMENT TO PROVIDE INVESTMENT SERVICES THROUGH WAYNE HUMMER INVESTMENTS. POSITION IS A PAID EMPLOYEE ROLE WITH� 0 HOURS PER MONTH, OF WHICH 0 HOURS ARE DURING SECURITIES TRADING HOURS.�START DATE OF RELATIONSHIP IS 10/18/1998. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
MORTON COMMUNITY BANK LOCATED AT 721 W. JACKSON ST. STREET MORTON, IL . BANKING AND INVESTMENT RELATED BUSINESS WITH NETWORKING AGREEMENT TO PROVIDE INVESTMENT SERVICES THROUGH WAYNE HUMMER INVESTMENTS. POSITION IS A Commercial banking ROLE WITH� 20 HOURS PER MONTH, OF WHICH 20 HOURS ARE DURING SECURITIES TRADING HOURS.�START DATE OF RELATIONSHIP IS 10/18/1998. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WHI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WHI'S BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Sheets's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Sheets's 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®
Experience
Current
September 23, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 721 W Jackson St, Morton, IL 61550RIA
BD
CRD#: 35371
Morton, IL
Current
September 23, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 721 W Jackson St, Morton, IL 61550RIA
BD
CRD#: 35371
Morton, IL
Past
January 8, 2007 - September 20, 2024
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
MORTON, IL
Past
December 7, 2006 - September 20, 2024
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
MORTON, IL
Past
November 16, 2001 - December 31, 2006
GREAT LAKES ADVISORS, LLC
RIA
CRD#: 110757
MORTON, IL
Past
October 27, 1998 - December 7, 2006
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
MORTON, IL
Past
April 8, 1997 - October 21, 1998
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(9/23/2024)
RR
Arkansas(9/23/2024)
RR
California(9/23/2024)
RR
Colorado(9/23/2024)
RR
Florida(9/23/2024)
RR
Georgia(9/23/2024)
RR
Illinois(9/23/2024)
IAR
Illinois(9/23/2024)
RR
Indiana(9/23/2024)
RR
Iowa(9/23/2024)
RR
Kentucky(9/23/2024)
RR
Maryland(9/23/2024)
RR
Michigan(9/23/2024)
RR
Minnesota(9/23/2024)
RR
Missouri(9/23/2024)
RR
Nebraska(9/23/2024)
RR
Nevada(9/23/2024)
RR
New Jersey(9/23/2024)
RR
New York(9/23/2024)
RR
North Carolina(9/23/2024)
RR
Ohio(9/23/2024)
RR
Oklahoma(9/23/2024)
RR
Oregon(9/23/2024)
RR
Pennsylvania(9/23/2024)
RR
South Carolina(9/23/2024)
RR
Texas(9/23/2024)
IAR
Texas(9/23/2024)
RR
Virginia(9/23/2024)
RR
Washington(9/23/2024)
RR
Wisconsin(9/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Morton, IL 61550TRUST BUT VERIFY
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Contact information
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