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Michael Timothy Scripps

CRD# 5304263·Registered 2007 - 2012
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 Timothy Scripps, who also goes by Michael T Scripps, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2007 - 2012. Michael had worked at 3 firms and has passed the Series 66, Series 31 and Series 7 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

Michael T Scripps

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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

19 years in the financial services industry

Current & Past Employments

MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
RIA
New Orleans, LA
September 27, 2010 - March 30, 2012
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
New Orleans, LA
September 3, 2010 - March 30, 2012
MORGAN STANLEY·CRD# 149777
BD
New Orleans, LA
June 1, 2009 - September 3, 2010
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New Orleans, LA
July 16, 2007 - June 1, 2009

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Current Firm

MK
MORGAN KEEGAN & COMPANY, LLC

ATLANTA CONSULTING GROUP | MORGAN KEEGAN & COMPANY, LLC | MORGAN KEEGAN & COMPANY, INC. | MORGAN KEEGAN

CRD#: 4161 / SEC#: 801-19665, 8-15001
BD
Terminated by SEC on 05/06/2016

Contact Information

Established

Tennessee since 07/29/2013

Firm Type

Limited Liability Company

Fiscal Year End

September

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2-A (8/26/2013)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES FINANCIAL, INC.PARENT—
BARKLEY, JOSEPH CLARENCEOPERATIONS MANAGER - MANAGING DIRECTOR1373033
BEAUPREZ, JACQUELINE ANNCHIEF COMPLIANCE OFFICER / BROKER DEALER4075012
CARSON, JOHN CONGLETON JRCEO1307784
FRANZ, RICHARD BONAFIELD IICHIEF FINANCIAL OFFICER & TREASURER1402348
MATECKI, PAUL LOUISGENERAL COUNSEL1173122

Disclosures

Regulatory Event

86

Civil Event

9

Arbitration

173

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 May 2007About the Series 66 exam

Series 31 — Futures Managed Funds Examination

Passed Jun 2008About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed May 2007About the Series 7 exam

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CRS (Client Relationship Summary)

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

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