Michael D. Shumway

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CRD#: 423032

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 David Shumway, who also goes by Micheal David Shumway, Mike Shumway, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 7 firms and has passed the Series 66, Series 63, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Micheal David Shumway | Mike Shumway

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

May 6, 2013 - February 13, 2014

ISC ADVISORS, INC.

RIA

CRD#: 166586

DALLAS, TX

Past

January 18, 2008 - December 31, 2013

INSTITUTIONAL SECURITIES CORPORATION

RIA

CRD#: 20291

SAN BENITO, TX

Past

August 16, 2001 - February 13, 2014

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291

SAN BENITO, TX

Past

November 4, 1983 - August 16, 2001

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642

HOUSTON, TX

Past

July 22, 1981 - August 18, 1981

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 3, 1980 - March 21, 1996

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

September 23, 1977 - December 19, 1983

INVESTMENT DEALERS INC.

CRD#: 5777

Past

June 23, 1972 - October 17, 1977

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ISC ADVISORS, INC.

CRD#: 166586 / SEC#: 801-77727

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/10/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 6/20/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/2/1987

General Securities Principal Examination

Current Firm

ISC ADVISORS, INC.

CRD#: 166586 / SEC#: 801-77727

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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Contact information

Main Address

3500 Oak Lawn Ave Ste 400, Dallas, TX 75219

Mailing Address

Phone number

(214) 520-1115

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISC ADVISORS PART 2A-MARCH 2024 (7/30/2025)

Regulatory assets under management

Total Number of Accounts	1,989
AUM (Assets Under Management)	$ 1,539,119,817

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.

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Firm Stability Insights

Michael D. Shumway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSTITUTIONAL SECURITIES CORPORATION

INSTITUTIONAL SECURITIES CORPORATION

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

AMERICAN UNITED LIFE INSURANCE COMPANY

INVESTMENT DEALERS INC.

N.I.S. FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ISC ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/10/2004

Series 63

Date: 12/23/1998

Series 1

Date: 6/20/1972

Series 24

Date: 9/2/1987

Current Firm

ISC ADVISORS, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ISC ADVISORS, INC.

TRUST BUT VERIFY

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