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Michael William Chamberlain

CRD# 3268346·Registered 1999 - 2012
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael William Chamberlain was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1999 - 2012. Michael had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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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

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

27 years in the financial services industry

Current & Past Employments

THE ASCENDANT GROUP, LLC·CRD# 155991
RIA
Belvidere, IL
January 19, 2011 - December 31, 2012
PRINCIPAL SECURITIES, INC.·CRD# 1137
RIA
Belvidere, IL
March 26, 2010 - December 2, 2010
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Belvidere, IL
March 24, 2010 - December 2, 2010
OAK GROVE INVESTMENT SERVICES, INC.·CRD# 46343
BD
Rochester, IL
June 16, 2009 - December 24, 2009
MSI FINANCIAL SERVICES, INC.·CRD# 14251
RIA
Belvidere, IL
May 19, 2003 - July 22, 2008
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
Milwaukee, WI
January 18, 2001 - July 9, 2007
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Milwaukee, WI
January 18, 2001 - July 22, 2008
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Des Moines, IA
August 14, 1999 - April 3, 2001

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Current Firm

TA
THE ASCENDANT GROUP, LLC

THE ASCENDANT GROUP, LLC

CRD#: 155991

Contact Information

Main Address

Belvidere, IL

Documents

Latest Form ADV

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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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1999About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1999About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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