Mickey P. Wienholt
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.
Mickey Patrick Wienholt was a registered financial professional .
Mickey is a previously registered financial professional and started their career in finance in 2003. Mickey had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2017 - October 18, 2017
ADP STRATEGIC PLAN SERVICES, LLC
February 29, 2016 - October 1, 2020
ADP BROKER-DEALER, INC.
December 23, 2015 - March 8, 2016
T. ROWE PRICE ADVISORY SERVICES, INC.
February 26, 2004 - March 8, 2016
T. ROWE PRICE INVESTMENT SERVICES, INC.
January 7, 2004 - January 22, 2004
OSAIC FA, INC.
November 10, 2003 - January 22, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 10, 2003 - January 22, 2004
OSAIC FA, INC.
Primary Firm SEC Registration
ADP STRATEGIC PLAN SERVICES, LLC
CRD#: 286555 / SEC#: 801-109013
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
ADP STRATEGIC PLAN SERVICES, LLC
CRD#: 286555 / SEC#: 801-109013
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 90,603 |
| AUM (Assets Under Management) | $ 23,781,365,084 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 |
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.
