Michael D. Laws
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 Darin Laws was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
Experience
March 6, 2015 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
March 6, 2015 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
January 24, 2012 - March 12, 2015
SIGNATOR FINANCIAL SERVICES, INC.
January 20, 2012 - March 12, 2015
SIGNATOR FINANCIAL SERVICES, INC.
June 2, 2005 - January 31, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 1, 2005 - January 31, 2012
PACIFIC WEST SECURITIES, INC.
July 23, 2004 - June 1, 2005
KOVACK SECURITIES INC.
March 26, 2004 - June 1, 2005
KOVACK SECURITIES INC.
November 24, 2003 - March 29, 2004
CROWN CAPITAL SECURITIES, L.P.
November 24, 2003 - March 29, 2004
CROWN CAPITAL SECURITIES, L.P.
January 3, 2003 - November 24, 2003
METROPOLITAN FINANCIAL SERVICES, INC.
July 24, 2000 - November 24, 2003
METROPOLITAN INVESTMENT SECURITIES, 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
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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