Michelle Miguez-garcia
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.
Michelle Miguez-garcia, who also goes by Michelle Miguez, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2001. Michelle had worked at 9 firms and has passed the Series 65, Series 63, 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
November 9, 2021 - August 5, 2025
KESTRA ADVISORY SERVICES, LLC
November 9, 2021 - August 5, 2025
KESTRA INVESTMENT SERVICES, LLC
October 13, 2016 - November 19, 2021
LPL FINANCIAL LLC
October 13, 2016 - November 19, 2021
LPL FINANCIAL LLC
June 22, 2016 - October 19, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2016 - October 19, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 7, 2014 - June 19, 2015
CARY STREET PARTNERS
January 3, 2011 - January 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 2, 2014
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 9, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 8, 2006 - June 13, 2008
FROST BROKERAGE SERVICES, INC.
February 11, 2005 - March 21, 2006
ADVISORS ASSET MANAGEMENT, INC.
September 10, 2001 - February 11, 2005
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
