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MK

Michael Kerrigan

Some features on this profile are disabled
CRD#: 5412271
MK

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 Kerrigan, who also goes by Michael James Kerrigan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael James Kerrigan

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

January 23, 2023 - September 15, 2025

ASHFORD SECURITIES LLC

BD
CRD#: 305330
DALLAS, TX
Past

May 26, 2021 - January 20, 2023

GLADSTONE SECURITIES, LLC

BD
CRD#: 127808
MCLEAN, VA
Past

March 24, 2020 - April 15, 2021

TIMBREL CAPITAL, LLC

BD
CRD#: 298131
ATLANTA, GA
Past

January 7, 2019 - March 12, 2020

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL
Past

October 18, 2018 - November 20, 2018

OSAIC SERVICES, INC.

BD
CRD#: 133763
SUN CITY CENTER, FL
Past

June 4, 2018 - October 18, 2018

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
New Smyrna Beach, FL
Past

May 9, 2016 - December 5, 2016

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

January 8, 2015 - May 2, 2016

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

January 3, 2013 - January 8, 2015

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

April 17, 2012 - December 10, 2012

KBS CAPITAL MARKETS GROUP LLC

BD
CRD#: 132299
NEWPORT BEACH, CA
Past

April 19, 2011 - April 12, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
LAGUNA NIGUEL, CA
Past

April 11, 2011 - April 12, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LAGUNA NIGUEL, CA
Past

August 4, 2010 - April 7, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
WOODLAND HILLS, CA
Past

November 1, 2007 - August 2, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO

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
IAR
Series 65
Date: 4/16/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AS
ASHFORD SECURITIES LLC
ASHFORD SECURITIES LLC

CRD#: 305330 / SEC#: , 8-70405

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

Main Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Mailing Address
14185 Dallas Parkway, Suite 780, Dallas, TX 75254
Phone number
(469) 729-0500
Established
Delaware since 07/15/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KYLEMORE HOLDINGS LLCSOLE MEMBER
MOORE, PETER ALFRED JRCHIEF COMPLIANCE OFFICER1979755
STEIGERWALD, CARL JACOB IIICEO1231837
SUMNER, GARRETT BRUCE JRFINOP/ PFO/ POO6320306

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.

Company Information

ASHFORD SECURITIES LLC

CRD#: 305330

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