Michael Bean
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 Bean, who also goes by Mike Austin Bean, Michael Austin Bean, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
Experience
January 2, 2019 - November 12, 2019
VISION 4 FUND DISTRIBUTORS
January 2, 2018 - December 31, 2018
FIRST DOMINION CAPITAL CORP.
March 3, 2017 - July 7, 2017
UBS FINANCIAL SERVICES INC.
March 3, 2017 - July 7, 2017
UBS FINANCIAL SERVICES INC.
March 18, 2009 - December 13, 2016
FIRST TRUST ADVISORS LP
July 26, 2005 - December 13, 2016
FIRST TRUST PORTFOLIOS L.P.
January 9, 2004 - July 26, 2005
MORGAN STANLEY DW INC.
January 9, 2004 - July 26, 2005
MORGAN STANLEY DW INC.
January 30, 2002 - June 24, 2003
MORGAN STANLEY DW INC.
November 27, 2000 - June 24, 2003
MORGAN STANLEY DW INC.
April 11, 2000 - December 4, 2000
EDWARD JONES
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
Current Firm
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (28 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
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.
