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MICHAEL JAMES SCHUMAR
CRD#: 1892477
IA
B
WESTERN WEALTH MANAGEMENT LLCCRD#: 283545 Denver, CO
LPL FINANCIAL LLCCRD#: 6413 SCOTTSDALE, AZ
0
Disclosures
36
Years of Experience
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State Registrations
B
Arizona 11/19/2020
IA
Colorado 6/22/2016
B
Colorado 6/28/2013
SRO Registrations
B
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IA
Registered with this firm since 6/22/2016
B
Registered with this firm since 6/28/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/02/2013 - 06/22/2016 | DENVER, CO | |
IA | 01/01/2008 - 07/01/2013 | DENVER, CO | |
B | 01/01/2008 - 07/01/2013 | DENVER, CO | |
B | 06/02/1995 - 01/03/2008 | DENVER, CO | |
IA | 01/01/1999 - 01/01/2008 | DENVER, CO | |
B | 07/31/1993 - 06/22/1995 | NEW YORK, NY | |
B | 11/23/1988 - 07/31/1993 | NEW YORK, NY |
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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.