Michael W. Yaeger
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 Wayne Yaeger was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10, Series 53, Series 12, Series 4 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
March 21, 2016 - November 10, 2017
OPTIONSXPRESS, INC.
October 27, 2006 - December 31, 2015
CHARLES SCHWAB & CO., INC.
December 10, 2003 - January 11, 2024
CHARLES SCHWAB & CO., INC.
March 21, 1983 - November 3, 2003
CHARLES SCHWAB & CO., INC.
May 18, 1981 - August 20, 1982
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 12
Date: 3/17/1984
NYSE Branch Manager ExaminationCurrent Firm
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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