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MA

Michael R. Anderson

Some features on this profile are disabled
CRD#: 4052175
MA

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 Robert Anderson, who also goes by Michael R Anderson, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael R Anderson

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 2014 - May 11, 2015

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
PLAINWELL, MI
Past

October 21, 2011 - August 30, 2012

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
PLAINWELL, MI
Past

October 21, 2011 - May 11, 2015

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
PLAINWELL, MI
Past

September 3, 2010 - October 14, 2011

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
PORTAGE, MI
Past

July 22, 2010 - October 14, 2011

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
PORTAGE, MI
Past

November 16, 2007 - July 15, 2010

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
PORTAGE, MI
Past

November 16, 2007 - July 15, 2010

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
PORTAGE, MI
Past

January 8, 2007 - November 1, 2007

IFMG SECURITIES, INC.

BD
CRD#: 14416
PORTAGE, MI
Past

July 10, 2003 - January 9, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
GRAND RAPIDS, MI
Past

December 20, 1999 - July 25, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/21/2008
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/19/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1999
General Securities Representative Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
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Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

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

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

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