MK
Michael D. Kops
HEARTLAND ADVISORS
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 3219178
MK
Professional summary
Michael David Kops, who also goes by Michael D Kops, is a registered financial advisor currently at HEARTLAND ADVISORS, INC. located in Milwaukee, Wisconsin and ALPS DISTRIBUTORS, INC. located in Milwaukee, Wisconsin.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael D Kops
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.
1. Heartland Advisors. Investment related. 790 Water St, Ste 1200, Milwaukee, WI 53202, Investment Advisor, Vice President of Sales, start 10/2009, 176 hrs/mo, 132 hrs/mo, Investment management. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Kops'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®
NoneExperience
Current
December 11, 2009 - Present
HEARTLAND ADVISORS, INC.
Office #1: 790 N Water Street Suite 1200, Milwaukee, WI 53202RIA
CRD#: 29433
Milwaukee, WI
Current
November 12, 2009 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 790 Water Street Suite 1200, Milwaukee, WI 53202BD
CRD#: 16853
Milwaukee, WI
Past
December 5, 2003 - March 14, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MEQUON, WI
Past
December 2, 2003 - March 14, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 8, 2000 - December 12, 2003
STRONG CAPITAL MANAGEMENT INC
RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past
July 14, 1999 - December 12, 2003
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
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".
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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
Alabama(12/10/2009)
RR
Alaska(12/10/2009)
RR
Arizona(12/10/2009)
RR
Arkansas(12/10/2009)
RR
California(12/10/2009)
RR
Colorado(12/10/2009)
RR
Connecticut(12/10/2009)
RR
Delaware(12/10/2009)
RR
District of Columbia(12/10/2009)
RR
Florida(12/10/2009)
RR
Georgia(12/10/2009)
RR
Hawaii(12/10/2009)
RR
Idaho(12/10/2009)
RR
Illinois(12/10/2009)
RR
Indiana(12/10/2009)
RR
Iowa(12/10/2009)
RR
Kansas(12/10/2009)
RR
Kentucky(12/10/2009)
RR
Louisiana(12/10/2009)
RR
Maine(12/10/2009)
RR
Maryland(12/10/2009)
RR
Massachusetts(12/10/2009)
RR
Michigan(12/10/2009)
RR
Minnesota(12/10/2009)
RR
Mississippi(12/10/2009)
RR
Missouri(12/10/2009)
RR
Montana(12/10/2009)
RR
Nebraska(12/10/2009)
RR
Nevada(12/10/2009)
RR
New Hampshire(12/10/2009)
RR
New Jersey(12/10/2009)
RR
New Mexico(12/10/2009)
RR
New York(12/10/2009)
RR
North Carolina(12/21/2009)
RR
North Dakota(12/10/2009)
RR
Ohio(12/14/2009)
RR
Oklahoma(12/10/2009)
RR
Oregon(12/10/2009)
RR
Pennsylvania(12/10/2009)
RR
Rhode Island(12/10/2009)
RR
South Carolina(12/10/2009)
RR
South Dakota(12/10/2009)
RR
Tennessee(12/10/2009)
RR
Texas(12/10/2009)
IAR
Texas(3/8/2021)
RR
Utah(12/10/2009)
RR
Vermont(12/10/2009)
RR
Virginia(12/10/2009)
RR
Washington(12/10/2009)
RR
West Virginia(12/10/2009)
RR
Wisconsin(12/10/2009)
IAR
Wisconsin(12/11/2009)
RR
Wyoming(12/10/2009)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
790 N Water Street Suite 1200, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 347-7777
Established
Wisconsin since 03/03/1953
Firm type
Corporation
Fiscal year end
December
# of Employees
26
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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
HEARTLAND ADVISORS, INC.
CRD#: 29433Milwaukee, WI 53202TRUST BUT VERIFY
Monitor Michael Kops
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
