Michael S. Calder
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 Calder, who also goes by Mike Calder, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 62, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2015 - December 22, 2016
FMI CAPITAL ADVISORS, INC.
June 26, 2014 - May 4, 2015
KPMG CORPORATE FINANCE LLC
November 29, 2012 - July 1, 2014
ST. CHARLES CAPITAL, LLC
December 17, 2007 - February 17, 2009
CHARLES SCHWAB & CO., INC.
November 15, 2007 - December 13, 2007
TRANSAMERICA CAPITAL, LLC
September 4, 2006 - November 12, 2007
CHARLES SCHWAB & CO., INC.
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 62
Date: 12/23/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
FMI CAPITAL ADVISORS, INC.
CRD#: 129262 / SEC#: , 8-66206
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
