Michael J. Emerson
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 John Emerson, who also goes by Michael Emerson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 4 firms and has passed the Series 66, SIE 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
February 11, 2015 - April 4, 2022
IPI WEALTH MANAGEMENT, INC.
February 11, 2015 - April 4, 2022
INVESTMENT PLANNERS, INC.
August 17, 2012 - February 27, 2015
STIFEL INDEPENDENT ADVISORS, LLC
August 17, 2012 - February 27, 2015
STIFEL INDEPENDENT ADVISORS, LLC
December 22, 2008 - August 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2008 - August 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
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
Current Firm
IPI WEALTH MANAGEMENT, INC.
CRD#: 111872 / SEC#: 801-56878
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,743 |
| AUM (Assets Under Management) | $ 2,248,994,441 |
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.
