Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL EMMETT FLOOD
MIKE EMMETT FLOOD, MIKE FLOOD
CRD#: 2524978
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
Registration History
19952000200520102015202020252 FIRMS1999 - 2019 (19 years)2 FIRMS2019 - Present (6 years)BH.D. VEST INVESTMENT SECURITIE... (CRD# 13686)1995 - 1999 (3 years)BPFS INVESTMENTS INC. (CRD# 10111)1994 - 1995 (<1 year)
License(s)

State Registrations

B
Arizona 2/22/2019
B
New York 2/22/2019
B
California 2/22/2019
B
Oklahoma 1/3/2020
IA
California 2/22/2019
B
Tennessee 2/22/2019
B
Colorado 2/22/2019
IA
Texas 2/22/2019
B
Illinois 2/22/2019
B
Texas 3/1/2019
B
Kentucky 2/22/2019
B
Utah 2/22/2019
B
Missouri 11/14/2019
B
Washington 2/22/2019
B
Nevada 2/22/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 2/22/2019
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Registered with this firm since 2/22/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/13/1999 - 02/26/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
 06/19/1999 - 02/26/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) IRVINE, CA
B
 07/26/1995 - 05/21/1999 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) DALLAS, TX
B
 08/31/1994 - 07/14/1995 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.