Michael M. Marvich
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 Matthew Marvich, who also goes by Mike Marvich, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - August 3, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
November 1, 2017 - August 3, 2018
ALLSTATE FINANCIAL SERVICES, LLC
December 15, 2015 - November 15, 2017
FIRST COMMAND ADVISORY SERVICES
November 20, 2014 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
August 11, 2014 - November 15, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
