Michael J. Fleischhauer
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 Fleischhauer, CFP®, who also goes by Michael Joseph Fleischhauer Jr, Mike Fleischhauer, Michael Joseph Fleischhaver, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, 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
Start date: 2005
Experience
November 19, 2020 - February 17, 2026
CETERA INVESTMENT SERVICES LLC
November 17, 2020 - February 17, 2026
CETERA INVESTMENT ADVISERS LLC
October 20, 2017 - December 31, 2018
RODRIGUEZ INVESTMENT ADVISORY, INC.
February 21, 2017 - October 12, 2017
AE WEALTH MANAGEMENT, LLC
October 19, 2005 - November 10, 2010
BB&T ASSET MANAGEMENT, INC.
March 28, 2005 - September 14, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 5, 2004 - October 21, 2005
CHERRY BEKAERT WEALTH MANAGEMENT LLC
March 2, 2004 - March 21, 2005
CAP PRO BROKERAGE SERVICES, INC.
May 7, 2003 - January 7, 2004
AMSOUTH INVESTMENT SERVICES, INC.
September 20, 2000 - May 13, 2003
BROOKSTREET SECURITIES CORPORATION
July 6, 1999 - September 18, 2000
SCOTTRADE, 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
Series 7TO
Date: 11/19/2020
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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