Michael W. Adams
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 Wilson Adams was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1975. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2004 - August 9, 2010
AMERITAS INVESTMENT COMPANY, LLC
October 31, 2003 - August 9, 2010
AMERITAS INVESTMENT COMPANY, LLC
March 11, 2002 - September 30, 2004
THE ADVISORS GROUP, INC.
February 13, 1998 - October 31, 2003
THE ADVISORS GROUP, INC.
February 3, 1998 - March 3, 1998
SECURITIES AMERICA, INC.
August 1, 1996 - January 29, 1998
THE ADVISORS GROUP, INC.
June 13, 1994 - August 6, 1996
ADVEST, INC.
December 4, 1990 - May 31, 1994
UBS FINANCIAL SERVICES INC.
May 14, 1988 - June 14, 1988
LEHMAN BROTHERS INC.
September 17, 1976 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 22, 1975 - November 4, 1976
CITIGROUP GLOBAL MARKETS 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
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
