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MICHAEL WALDEN BRINTON
MIKE BRINTON
CRD#: 1565431
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1995200020052010201520202025IATERRA WEALTH (CRD# 320643)2022 - 2024 (1 year)IAAPOLLON WEALTH MANAGEMENT, LLC (CRD# 291902)2021 - 2022 (1 year)IAHAYDEN ROYAL (CRD# 170037)2019 - 2021 (1 year)IACARY STREET PARTNERS (CRD# 128545)2016 - 2019 (3 years)IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2005 - 2016 (10 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - 2005 (6 years)
Disclosure(s)
View By:
7/3/2024
Customer Dispute
Pending
10/7/2022
Customer Dispute
Denied
12/7/2015
Judgment / Lien
4/17/2007
Regulatory
Final
8/31/2005
Employment Separation After Allegations
5/23/1991
Customer Dispute
Award / Judgment
Previous Registration(s)
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11/16/2022 - 01/25/2024 TERRA WEALTH (CRD#:320643) NASHVILLE, TN
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07/16/2021 - 11/28/2022 APOLLON WEALTH MANAGEMENT, LLC (CRD#:291902) Nashville, TN
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08/16/2019 - 04/07/2021 HAYDEN ROYAL (CRD#:170037) Brentwood, TN
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03/11/2016 - 08/22/2019 CARY STREET PARTNERS (CRD#:128545) Brentwood, TN
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09/20/2005 - 02/23/2016 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) NASHVILLE, TN
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11/18/1998 - 09/23/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) FRANKLIN, TN
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Broker
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Investment Adviser
Disclosures
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.