Michael R. Vehlow
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 Robert Vehlow, who also goes by Michael R Vehlow, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1980. Michael had worked at 6 firms and has passed the Series 66, Series 63, Series 15 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
December 1, 2003 - July 27, 2004
BANC ONE SECURITIES CORPORATION
December 1, 2003 - July 27, 2004
BANC ONE SECURITIES CORPORATION
July 9, 2003 - November 13, 2003
AMERIPRISE ADVISOR SERVICES, INC.
June 18, 2002 - November 13, 2003
AMERIPRISE ADVISOR SERVICES, INC.
January 18, 2002 - June 19, 2002
CIBC WORLD MARKETS CORP.
October 2, 1995 - June 19, 2002
CIBC WORLD MARKETS CORP.
October 5, 1994 - September 27, 1995
CHASE INVESTMENT SERVICES CORP.
September 22, 1989 - September 22, 1994
CIBC WORLD MARKETS CORP.
May 6, 1985 - October 12, 1989
J.P. MORGAN SECURITIES LLC
July 22, 1980 - May 14, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 15
Date: 10/30/1985
Foreign Currency Options ExaminationCurrent Firm
BANC ONE SECURITIES CORPORATION
CRD#: 16999 / SEC#: , 8-34881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDING CORPORATION | HOLDING COMPANY | |
| ANDERSON, ELLEN FOWLER | ASSISTANT SECRETARY | 1819869 |
| BERRY, JAMES C. P. | SECRETARY | 4361911 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DAVIS, JEFFREY L | ASSISTANT SECRETARY | |
| DONOVAN, DAVID EDWIN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1081912 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CEO, DIRECTOR | 2354456 |
| KRAMER, JOHN MCDEVITT | CHIEF COMPLIANCE OFFICER | 2350116 |
| MACLELLAN, JOHN STEPHEN | SENIOR VICE PRESIDENT, DIRECTOR | 1050214 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| REED, MICHAEL JOHN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1553478 |
| SAMSON, TIMOTHY HUGH | ASSISTANT SECRETARY | 4603479 |
| SCHARF, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2123345 |
| WARTA, TERESA LYNN | TREASURER & CFO | 2055433 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 9 |
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.
