Michael J. Meiners
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 Meiners, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
December 1, 2008 - December 18, 2015
INVEST FINANCIAL CORPORATION
November 14, 2008 - December 18, 2015
INVEST FINANCIAL CORPORATION
October 31, 2005 - November 17, 2008
OSAIC SERVICES, INC.
March 3, 2003 - March 19, 2025
FINANCIAL PLANS & STRATEGIES, INC.
December 10, 1998 - December 31, 2002
FINANCIAL PLANS & STRATEGIES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 6, 1982 - January 22, 1982
K. W. CHAMBERS & CO.
April 28, 1975 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 19, 1973 - June 8, 1975
WADDELL & REED
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 1
Date: 3/13/1973
Registered Representative ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| 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.
