A Michael Lipper
Professional Summary
A Michael Lipper is a registered financial advisor currently at LIPPER ADVISORY SERVICES INC located in Summit, New Jersey. A is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. A has worked at 4 firms and has passed the Series 65, Series 63, Series 16, Series 000, Series 1, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
64 years in the financial services industry
Current & Past Employments
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Current Firm
LIPPER ADVISORY SERVICES INC
Contact Information
Main Address
Summit, NJPhone Number
(908) 273-2454# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
24AUM (Assets Under Management)
$155,792,969Similar Advisors
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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.
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Primary Firm SEC Registration
LIPPER ADVISORY SERVICES INC
State Registrations and Notice Filings
(12/11/2012)
(11/9/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Feb 1962Series 1 — Registered Representative Examination
Passed Feb 1962F04 — Financial Principal Examination
Passed Mar 1975Series 40 — Registered Principal Examination
Passed Nov 1967Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view A Michael Lipper's CRS (Customer Relationship Summary).
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