Michael C. Reis
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 C Reis was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 6 firms and has passed the Series 66, SIE 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
August 21, 2017 - October 19, 2017
THE LEADERS GROUP, INC.
October 10, 2014 - February 16, 2018
FLAGSHIP HARBOR ADVISORS, LLC
October 2, 2014 - September 13, 2017
LPL FINANCIAL LLC
July 13, 2012 - October 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2012 - October 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
November 10, 2005 - July 17, 2012
NEW ENGLAND SECURITIES
October 4, 2005 - July 17, 2012
NEW ENGLAND SECURITIES
September 20, 2002 - October 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2000 - October 7, 2005
IDS LIFE INSURANCE COMPANY
September 19, 2000 - October 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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