Michael J. Ziegler
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 Ziegler was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2020 - June 14, 2021
ELWOOD & GOETZ
August 19, 2009 - April 17, 2018
BNY MELLON SECURITIES CORPORATION
January 1, 2008 - June 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2005 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
ELWOOD & GOETZ
CRD#: 154839 / SEC#: 801-109935
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
ELWOOD & GOETZ
CRD#: 154839 / SEC#: 801-109935
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,954 |
| AUM (Assets Under Management) | $ 813,016,044 |
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.
