MS
Michael O. Solis
CITIZENS SECURITIES
SAN FRANCISCO, CA 94111
Some features on this profile are disabled
CRD#: 4708333
MS
Professional summary
Michael O Solis, who also goes by Michael O. Solis, Michael Orozco Solis, Michael Solis, Mike Solis, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in San Francisco, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael O. Solis | Michael Orozco Solis | Michael Solis | Mike Solis
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.
Entity Name: Bollinger Canyon Little League/San Ramon Baseball Umpires Association Investment related: No "Address: https://www.srbaseball.com/San Ramon, California 94582" Nature of the other business: Sports Position/Title/Relationship: Employee/Contractor Start Date: 03/02/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I'm interested in helping my older son, umpire little league baseball games this spring.
CRS (Client Relationship Summary) - RIA
Click below to view Michael O Solis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael O Solis'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
June 24, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Current
June 24, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 101 California Street, San Francisco, CA 94111RIA
BD
CRD#: 39550
SAN FRANCISCO, CA
Past
September 29, 2023 - April 24, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
San Francisco, CA
Past
January 27, 2017 - April 25, 2024
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
San Francisco, CA
Past
January 27, 2017 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
San Francisco, CA
Past
November 6, 2014 - August 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN LEANDRO, CA
Past
November 6, 2014 - August 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN LEANDRO, CA
Past
August 8, 2012 - June 10, 2014
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
FREMONT, CA
Past
August 8, 2012 - June 10, 2014
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
FREMONT, CA
Past
May 29, 2007 - June 28, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
FREMONT, CA
Past
May 29, 2007 - June 28, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FREMONT, CA
Past
March 13, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEWARK, CA
Past
March 13, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEWARK, CA
Past
June 15, 2004 - March 2, 2006
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
LAFAYETTE, CA
Past
May 10, 2004 - March 2, 2006
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 10, 2004 - March 2, 2006
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(6/24/2024)
IAR
California(6/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
