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MIKE ANTHONY PRIESTLEY
CRD#: 1009437
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 3500 Blue Lake Dr
Ste 280
Birmingham, AL 35243
Ste 280
Birmingham, AL 35243
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5/21/2002
Customer Dispute
Settled
State Registrations
B
Alabama 10/24/2019
B
Florida 10/23/2019
IA
Alabama 10/24/2019
SRO Registrations
B
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IA
Registered with this firm since 10/24/2019
B
Registered with this firm since 10/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/08/2017 - 10/24/2019 | Vestavia Hills, AL | |
B | 12/04/2017 - 10/24/2019 | Vestavia Hills, AL | |
IA | 06/05/2012 - 12/07/2017 | VESTAVIA HILLS, AL | |
B | 05/30/2012 - 12/07/2017 | VESTAVIA HILLS, AL | |
B | 01/20/2012 - 06/07/2012 | BIRMINGHAM, AL | |
IA | 03/26/2012 - 05/04/2012 | BIRMINGHAM, AL | |
B | 06/03/2010 - 02/02/2012 | VESTAVIA, AL | |
B | 03/23/2005 - 06/03/2010 | BIRMINGHAM, AL | |
B | 09/02/2004 - 03/28/2005 | SPRINGFIELD, MA | |
B | 07/24/2002 - 09/16/2004 | PORTLAND, OR | |
B | 03/03/1998 - 08/19/2002 | BIRMINGHAM, AL | |
B | 10/01/1997 - 03/18/1998 | FORT WAYNE, IN | |
B | 03/29/1996 - 10/01/1997 | FORT WAYNE, IN | |
B | 04/11/1994 - 07/29/1996 | BOSTON, MA | |
B | 04/11/1994 - 07/29/1996 | BOSTON, MA | |
B | 12/17/1993 - 04/14/1994 | GREENWOOD VILLAGE, CO | |
B | 05/19/1993 - 01/19/1994 | BOSTON, MA | |
B | 05/19/1993 - 01/19/1994 | BOSTON, MA | |
B | 12/02/1992 - 04/21/1993 | HARTFORD, CT | |
B | 11/10/1992 - 12/02/1992 | ATLANTA, GA | |
B | 10/27/1992 - 12/01/1992 | BOSTON, MA | |
B | 12/04/1989 - 10/01/1992 | BOSTON, MA | |
B | 11/15/1981 - 11/18/1989 |
GREENWOOD VILLAGE, CO
12/17/1993 - 04/14/1994
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.