Michael S. Umbro

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CRD#: 5196341

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 Stephen Umbro was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 19, 2021 - December 16, 2022

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

May 29, 2017 - November 25, 2019

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

December 12, 2013 - December 23, 2015

FMV CAPITAL MARKETS, LLC

CRD#: 149974

IRVINE, CA

Past

April 2, 2007 - April 30, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LAJOLLA, CA

Past

April 2, 2007 - April 30, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

LAJOLLA, CA

Past

January 9, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAJOLLA, CA

Past

September 28, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

LAJOLLA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/12/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/14/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 11/14/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 31

Date: 10/24/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/27/2006

General Securities Representative Examination

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

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.

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Advisor Monitoring

Firm Stability Insights

Michael S. Umbro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT INVESTMENT BANKERS, CORP.

FMV CAPITAL MARKETS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2011

Series 66

Date: 4/14/2009

SIE

Date: 10/1/2018

Series 79

Date: 11/14/2012

Series 31

Date: 10/24/2006

Series 7

Date: 9/27/2006

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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