James R. Michaelman
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.
James Robert Michaelman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 1 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
October 15, 1996 - August 14, 1997
MUTUAL SERVICE CORPORATION
May 2, 1994 - September 3, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 24, 1993 - February 10, 1994
LPL FINANCIAL LLC
October 16, 1991 - April 6, 1993
SIGNATOR INVESTORS, INC.
July 29, 1986 - December 31, 1990
SIGNATOR INVESTORS, INC.
July 29, 1986 - April 6, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 20, 1980 - August 13, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 20, 1980 - August 13, 1981
SIGNATOR INVESTORS, INC.
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 1
Date: 3/13/1980
Registered Representative ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
