Michael W. Bessler
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 Warren Bessler, who also goes by Michael W. Bessler, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 6 firms and has passed the Series 66 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
September 6, 2013 - December 9, 2013
SUMMIT EQUITIES, INC.
September 3, 2013 - December 9, 2013
SUMMIT FINANCIAL RESOURCES INC
August 29, 2013 - December 9, 2013
SUMMIT EQUITIES, INC.
February 3, 2012 - April 29, 2013
SIGNATOR INVESTORS, INC.
January 24, 2012 - April 29, 2013
SIGNATOR INVESTORS, INC.
March 17, 2011 - November 22, 2011
GOLDMAN SACHS WEALTH SERVICES, L.P.
February 9, 2011 - November 22, 2011
MERCER ALLIED COMPANY, L.P.
July 21, 2010 - December 23, 2010
SIGNATOR INVESTORS, INC.
June 21, 2010 - December 23, 2010
SIGNATOR INVESTORS, INC.
February 12, 2010 - May 6, 2010
EQUITABLE ADVISORS, LLC
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
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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