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Michael Lee Mainland

Mainland Financial

Sarasota, FL

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Current Employers
Mainland Financial

6151 Lake Osprey Dr Suite 300, Sarasota, FL 34240-8419 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2007-07-05
CA RA APPROVED 2001-05-02
  • FL RA
    APPROVED
    Since 2007-07-05
  • CA RA
    APPROVED
    Since 2001-05-02

Branch Locations

6151 Lake Osprey Dr Third Floor, Sarasota, FL 34240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mainland Financial Services Llc Valencia CA 05/2001 Present
  • 05/2001 → Present
    Mainland Financial Services Llc
    Valencia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-19
S63 Uniform Securities Agent State Law Examination 1995-07-06
  • S65 Uniform Investment Adviser Law Examination
    1998-10-19
  • S63 Uniform Securities Agent State Law Examination
    1995-07-06
Designations
Other Names
  • Mike Lee Mainland

View on SEC IAPD

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