Michael A. Mcgregor
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 Adams Mcgregor was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 8 firms and has passed the Series 63, SIE, PC, 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
August 2, 2013 - December 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 2013 - December 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2012 - August 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 13, 2012 - August 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - April 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 5, 1987 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 20, 1985 - October 20, 1987
THOMSON MCKINNON SECURITIES INC.
January 19, 1984 - January 14, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 24, 1979 - December 31, 1983
ROTAN MOSLE INC.
September 26, 1978 - October 24, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 3/19/1996
AMEX Put and Call ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
