Michael L. Vandyke
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 Leo Vandyke, who also goes by Michael Leo Vandyke Jr, Mike Vandyke, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 13 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2003 - April 1, 2015
KESTRA INVESTMENT SERVICES, LLC
February 21, 2003 - April 1, 2015
KESTRA INVESTMENT SERVICES, LLC
February 7, 2003 - February 21, 2003
VSR FINANCIAL SERVICES, INC.
February 1, 2000 - February 7, 2003
THE MASTERS, INC.
December 7, 1999 - February 21, 2003
VSR FINANCIAL SERVICES, INC.
June 10, 1996 - December 7, 1999
CORNERSTONE INVESTMENTS, L.L.C.
May 7, 1992 - December 31, 1996
JOHN HANCOCK DISTRIBUTORS LLC
May 24, 1989 - May 23, 1996
PRIMELINE SECURITIES CORP.
January 5, 1989 - May 23, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
December 24, 1986 - December 31, 1988
KEOGLER, MORGAN & COMPANY, INC.
January 24, 1983 - January 2, 1987
GKB, INC.
September 23, 1981 - January 20, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
April 21, 1977 - January 25, 1982
G. R. PHELPS & CO., INC.
July 13, 1976 - August 26, 1979
MARSH & MCLENNAN SECURITIES CORPORATION
November 8, 1973 - April 27, 1975
NYLIFE SECURITIES 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
Series 1
Date: 11/2/1973
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
