Michael A. Davis

LEGS FINANCIAL

Greensboro, NC

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CRD#: 5288100

Professional summary

Michael Allen Davis, who also goes by Mike Davis, is a registered financial advisor currently at LEGS FINANCIAL located in Greensboro, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Michael has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Davis

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.

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 11/16/2023 2.ENSEMBLE FINANCIAL STRATEGIES, 7 Corporate Center Court, Suite B, Greensboro NC 27408, United States, 11/17/2023, Agent, Using a Trade Name/dba, INV REL, 160 HR/MO - 130 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Davis's CRS (Customer Relationship Summary).

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

Current

May 10, 2024 - Present

LEGS FINANCIAL

RIA

CRD#: 331204

Greensboro, NC

Past

November 16, 2023 - April 3, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Greensboro, NC

Past

November 16, 2023 - April 3, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Greensboro, NC

Past

October 4, 2023 - November 20, 2023

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

GREENSBORO, NC

Past

September 20, 2023 - November 20, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

GREENSBORO, NC

Past

August 27, 2021 - December 2, 2021

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 14, 2015 - May 22, 2018

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 5, 2007 - December 28, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(5/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/25/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/14/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/3/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 8/27/2021

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 5/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/2/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEGS FINANCIAL

LEGS FINANCIAL | LEGS FINANCIAL LLC

CRD#: 331204 / SEC#:

North Carolina

Registered Investment Advisory firm - (5/10/2024 Approved)

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Contact information

Main Address

Greensboro, NC

Mailing Address

Phone number

(704) 745-8726

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 A. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allen Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2023

Series 63

Date: 3/14/2007

Series 7TO

Date: 10/3/2023

Series 99TO

Date: 8/27/2021

SIE

Date: 5/22/2018

Series 7

Date: 11/11/2008

Series 6

Date: 3/2/2007

Current Firm

LEGS FINANCIAL

Contact information

Documents

Red Flags

Company Information

LEGS FINANCIAL

TRUST BUT VERIFY

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