Individual Firm
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Michael James Lanigan
MIKE LANIGAN
CRD#: 1237743
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 15800 W. BLUEMOUND ROAD
SUITE 105
BROOKFIELD, WI 53005
SUITE 105
BROOKFIELD, WI 53005
View By:
1/28/2022
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 9/12/2019
B
Nevada 9/6/2023
B
Florida 9/26/2018
B
North Carolina 1/3/2019
B
Illinois 8/22/2018
B
South Carolina 11/11/2024
B
Kentucky 6/18/2019
B
Texas 9/11/2018
B
Michigan 5/25/2023
B
Wisconsin 9/22/2016
B
Mississippi 11/4/2021
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Wisconsin 10/4/2016
B
Missouri 5/21/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/4/2016
B
Registered with this firm since 9/22/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/15/2006 - 12/18/2015 | MILWAUKEE, WI | |
B | 01/14/1993 - 02/23/2006 | MINNEAPOLIS, MN | |
B | 08/11/1986 - 02/09/1993 | DETROIT, MI | |
B | 03/03/1986 - 09/16/1986 | ||
B | 02/24/1984 - 03/10/1986 |
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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.