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Michael Andrew Stegawski

CRD# 4770265·Registered 2004 - 2013
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Andrew Stegawski was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2004 - 2013. Michael had worked at 4 firms and has passed the Series 66, Series 7, Series 31, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

VARIABLE INVESTMENT ASSOCIATES, INC.·CRD# 44412
BD
Tea, SD
September 13, 2013 - December 16, 2013
CONVERGENT SECURITIES, LLC·CRD# 151959
BD
Miami, FL
March 1, 2011 - April 22, 2014
CONVERGENT SECURITIES, LLC·CRD# 151959
RIA
Miami, FL
November 3, 2009 - July 14, 2012
CAPSTONE PARTNERS, L.C.·CRD# 35784
RIA
Atlanta, GA
March 25, 2009 - October 9, 2009
CAPSTONE PARTNERS, L.C.·CRD# 35784
BD
Atlanta, GA
March 24, 2009 - October 9, 2009
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Ftlauderdale, FL
June 1, 2004 - July 22, 2004
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 26, 2004 - July 22, 2004

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Current Firm

VI
VARIABLE INVESTMENT ASSOCIATES, INC.

VARIABLE INVESTMENT ADVISORS, INC. | VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412 / SEC#: 8-50699
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

750 E. 1st Street, Tea, SD 57064

Mailing Address

750 E. 1st Street, Tea, SD 57064

Phone Number

(605) 361-8230

Established

South Dakota since 10/03/1997

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (49 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WILSON, GREGORY STEVENPRESIDENT / CEO / CCO / COO/1272680
FONDER, TERRY JOSEPHFINOP5561085
WILSON, KYLE WAGNERASSISTANT CEO5212895

Disclosures

Regulatory Event

1

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2008About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed Mar 2009About the Series 7 exam

Series 31 — Futures Managed Funds Examination

Passed May 2004About the Series 31 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2010About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Nov 2007About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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