Michael K. Epley
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 Kevin Epley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 9 firms and has passed the Series 66, Series 63, Series 22TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2022 - May 1, 2023
THE CHAMPION GROUP, INC.
June 3, 2020 - January 13, 2022
CHARLES SCHWAB & CO., INC.
May 23, 2020 - May 26, 2020
CHARLES SCHWAB & CO., INC.
May 23, 2020 - January 13, 2022
CHARLES SCHWAB & CO., INC.
July 11, 2017 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
July 11, 2017 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
February 7, 2014 - July 17, 2017
USAA FINANCIAL PLANNING SERVICES
February 7, 2014 - July 17, 2017
USAA FINANCIAL ADVISORS, INC.
April 16, 2012 - January 28, 2014
ADVISORS ASSET MANAGEMENT, INC.
April 16, 2012 - January 28, 2014
ADVISORS ASSET MANAGEMENT, INC.
November 8, 2011 - December 6, 2011
IPI WEALTH MANAGEMENT, INC.
November 8, 2011 - January 18, 2012
INVESTMENT PLANNERS, INC.
January 24, 2007 - July 13, 2011
ADVISORS ASSET MANAGEMENT, INC.
January 24, 2007 - July 13, 2011
ADVISORS ASSET MANAGEMENT, INC.
April 17, 2006 - January 25, 2007
USAA INVESTMENT SERVICES COMPANY
April 17, 2006 - January 25, 2007
USAA INVESTMENT SERVICES COMPANY
July 31, 2003 - February 1, 2006
TD AMERITRADE, INC.
November 2, 2000 - February 1, 2006
TD AMERITRADE, 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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent Firm
THE CHAMPION GROUP, INC.
CRD#: 23418 / SEC#: , 8-40417
Contact information
FINRA licenses (46 States and Territories)
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.
