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Michael Collins

CRD# 4319143·Registered 2001 - 2023
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Collins, who also goes by Michael L Collins, Michael Lamont Collins, Mike Collins, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2001 - 2023. Michael had worked at 13 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael L Collins, Michael Lamont Collins, Mike Collins

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

ALLIANCE-ONE INVESTMENTS, LLC·CRD# 286025
BD
Tulsa, OK
July 24, 2023 - November 8, 2023
MADISON AVENUE SECURITIES, LLC·CRD# 23224
BD
San Diego, CA
October 26, 2022 - November 17, 2022
PLANMEMBER SECURITIES CORPORATION·CRD# 11869
BD
Carpinteria, CA
August 20, 2018 - December 3, 2018
LPL FINANCIAL LLC·CRD# 6413
BD
Ocala, FL
July 17, 2014 - May 10, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St Petersburg, FL
October 11, 2013 - June 16, 2014
IFS SECURITIES·CRD# 40375
BD
Atlanta, GA
April 4, 2011 - October 13, 2011
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Jacksonville, FL
December 22, 2008 - April 3, 2009
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Jacksonville, FL
December 2, 2008 - April 3, 2009
MSI FINANCIAL SERVICES, INC.·CRD# 14251
RIA
Jacksonville, FL
August 9, 2005 - June 27, 2008
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
Jacksonville, FL
March 31, 2005 - July 9, 2007
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Jacksonville, FL
March 31, 2005 - June 27, 2008
VALIC FINANCIAL ADVISORS, INC.·CRD# 42803
BD
Houston, TX
June 10, 2004 - July 8, 2004
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Ocala, FL
May 14, 2003 - April 26, 2004
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 21, 2003 - April 26, 2004
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
February 7, 2001 - April 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
February 7, 2001 - April 3, 2001

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Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: 8-69868
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

4000 N Mingo Rd, Tulsa, OK 74116

Mailing Address

4000 N Mingo Rd, Tulsa, OK 74116

Phone Number

(918) 281-1820

Established

Delaware since 10/20/2016

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Medium

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER—
ARBO, WILLIAM CHARLESPRESIDENT/ CEO / CFO1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed May 2003About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Dec 2003About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Feb 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2006About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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