MP
Michael A. Petter
WESTPARK WEALTH ADVISORS
SAN ANTONIO, TX
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CRD#: 4341091
MP
Professional summary
Michael Anthony Petter, who also goes by Mike Anthony Petter, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in San Antonio, Texas and CALTON & ASSOCIATES, INC. located in San Antonio, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Anthony Petter
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.
1) Name of Business: Michael A. Petter & Associates. Non-Investment related. Address: 62 La Escalera, San Antonio, TX 78261. Nature of Business: DBA Financial planning. Position/Title/Relationship: Agent. Start Date: 09/1995. Hours per month: 80. Hours per month during Securities trading hours: 50. Duties/Responsibilities: Fact finding, plan preparation and presentation. Coordination with attorneys and accountants. Products - Life, Health, Disability, Long term care insurance, and fixed annuities. 2) Name of Business: Michael A. Petter - Ranch Manager. Non-Investment related. Address: 62 La Escalera, San Antonio, TX 78261. Nature of Business: Ranch Manager. Position/Title/Relationship: Owner. Start Date: 01/01/2004. Hours per month: 10. Hours per month during Securities trading hours: 4. Duties/Responsibilities: Manage 600 acre ranch. 3) Name of Business: Westpark Wealth Advisors, Inc. Investment related. Address: 62 La Escalera, San Antonio, TX 78261. Nature of Business: Investment Adviser Representative. Position/Title/Relationship: Investment Advisor Representative. Start Date: 01/2013. Hours per month: 1. Hours per month during Securities trading hours: 1. Duties/Responsibilities: Asset Management. 4) Michael A. Petter & Associates. Non-investment related commission. 62 La Escalera San Antonio TEXAS, 78261. Nature of business: Financial Planning. Position/Title: Owner/Sole Proprietor. Start Date: 12/09/2017. Hours per month: 80 hours. Hours per month during trading hours: 50. Duties: Plan Preparation & presentation, Coordination with attorneys. 5) Secure Benefits. Non-Investment related. 4610 De Zavala Rd, San Antonio, TX 78249. Insurance sales and retirement & estate planning. Position: Agent. Start date: 01/01/2000. Hours/month: 10. Hours/month during securities trading hours: 5. Individual and group life & disability insurance and group health insurance. Retirement and estate planning.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Anthony Petter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 28, 2013 - Present
WESTPARK WEALTH ADVISORS, INC.
RIA
CRD#: 130914
SAN ANTONIO, TX
Current
November 9, 2017 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
San Antonio, TX
Past
April 12, 2001 - November 9, 2017
IMS SECURITIES, INC.
BD
CRD#: 35567
SAN ANTONIO, TX
Past
March 29, 2001 - April 20, 2001
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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".
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/9/2017)
RR
Colorado(11/9/2017)
RR
Florida(11/9/2017)
RR
Georgia(2/8/2022)
RR
Missouri(11/9/2017)
RR
New Mexico(11/9/2017)
RR
Oklahoma(1/12/2018)
IAR
Texas(1/28/2013)
RR
Texas(11/9/2017)
RR
Virginia(11/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTPARK WEALTH ADVISORS, INC.
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
CRD#: 130914 / SEC#: 801-63009
RIA
Registered Investment Advisory firm - (4/28/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077
Phone number
(713) 266-2993
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
