Michael L. Volk
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 Leon Volk was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 6 firms and has passed the Series 66, 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
May 31, 2018 - May 31, 2019
KMS FINANCIAL SERVICES, INC.
May 31, 2018 - May 31, 2019
KMS FINANCIAL SERVICES, INC.
October 21, 2014 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 15, 2014 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 8, 2010 - October 20, 2014
CUSO FINANCIAL SERVICES, L.P.
April 23, 2004 - October 20, 2014
CUSO FINANCIAL SERVICES, L.P.
February 15, 2000 - April 12, 2004
U.S. BANCORP INVESTMENTS, INC.
December 24, 1998 - October 12, 1999
IFG NETWORK SECURITIES, 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
