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Michael R. Arbuckle

Some features on this profile are disabled
CRD#: 4280347
MA

Professional summary

Michael Ray Arbuckle was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Michael had worked at 2 firms, which includes LEGACY FINANCIAL SERVICES INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 16, 2004 - December 31, 2005

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

October 9, 2000 - September 2, 2003

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/2/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LF
LEGACY FINANCIAL SERVICES, INC.
LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697 / SEC#: , 8-48360

BD
Terminated by SEC on 11/28/2008
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/27/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REGAN HOLDING CORPORATIONHOLDING CORPORATION
CAIRNS, MICHAEL IANFINANCIAL AND OPERATIONS PRINCIPAL5409908
EAKEN, CHRISTINA LYNNVP, CHIEF COMPLIANCE OFFICER, SECRETARY4484258
PITTS, ROBERT PRESTON JRPRESIDENT/DIRECTOR2624478
REGAN, LYNDA LOUISEDIRECTOR2149722

Disclosures

Regulatory Event5
Civil Event1
Arbitration3

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.

Company Information

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

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