Michael D. Woerner
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 Dean Woerner, who also goes by Mike Woerner, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - November 10, 2016
BIC DISTRIBUTORS, LLC
September 19, 2007 - May 20, 2010
GE INVESTMENT DISTRIBUTORS, INC
July 10, 1992 - February 8, 2007
ENTERPRISE FUND DISTRIBUTORS, INC.
October 28, 1991 - June 30, 1992
CITIGROUP GLOBAL MARKETS INC.
August 11, 1987 - October 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1986 - July 9, 1987
INVEST FINANCIAL CORPORATION
August 10, 1984 - September 16, 1986
E. F. HUTTON & COMPANY INC
January 17, 1980 - July 23, 1984
UBS FINANCIAL SERVICES INC.
January 3, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
BIC DISTRIBUTORS, LLC
CRD#: 152860 / SEC#: , 8-68484
Contact information
Documents
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.
