Michael E. Davis
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 Eugene Davis, who also goes by Mike Davis, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 15 firms and has passed the Series 63, SIE and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - January 29, 2016
ST. BERNARD FINANCIAL SERVICES, INC.
July 24, 2013 - September 30, 2013
LAWSON FINANCIAL CORPORATION
January 28, 2011 - July 29, 2011
ST. BERNARD FINANCIAL SERVICES, INC.
April 24, 2003 - December 1, 2010
RIDGEWAY & CONGER, INC.
August 2, 2002 - March 5, 2003
BOK FINANCIAL SECURITIES, INC.
October 13, 2000 - August 2, 2002
AMUNI FINANCIAL, INC.
February 5, 1999 - October 10, 2000
DRAKE & COMPANY, INC.
August 21, 1998 - February 5, 1999
PARAGON CAPITAL MARKETS, INC.
January 8, 1993 - July 28, 1998
AMUNI FINANCIAL, INC.
January 13, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
August 2, 1989 - September 7, 1990
VINING-SPARKS SECURITIES, INC.
April 3, 1989 - July 10, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
January 19, 1989 - April 25, 1989
L.A. BOYKIN & ASSOCIATES, INC.
July 8, 1985 - September 14, 1988
SWINK & COMPANY, INC.
April 15, 1985 - June 29, 1985
UMIC, INC.
February 21, 1978 - March 5, 1985
BRITTENUM & ASSOCIATES, INC.
November 11, 1976 - March 10, 1978
FIDELITY SECURITIES, INCORPORATED
Primary Firm SEC Registration
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956 / SEC#: 801-113763, 8-47566
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 40
Date: 12/27/1976
Registered Principal ExaminationCurrent Firm
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956 / SEC#: 801-113763, 8-47566
Contact information
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 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.
