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Michael Sumner Estes

Kroll Securities LLC

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About Michael Sumner Estes

Michael Sumner Estes is a financial professional with over 20 years of experience in the financial services industry. Michael is currently registered with Kroll Securities LLC in Illinois, where he has been employed since November 2016. Prior to joining Kroll Securities LLC, Michael held positions at Duff & Phelps Securities LLC, Houlihan Smith & Company, Inc., Capital Alliance Investments Incorporated, Foothill Securities, Inc., and Technology Funding Securities Corporation. Michael has a strong track record of success in providing financial advice and services to clients. Michael is committed to providing his clients with the highest level of service and expertise.

Firm Information

Michael Estes is currently registered with Kroll Securities LLC. Kroll Securities LLC is a Limited Liability Company formed in June 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

114

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Estes’s Registration & Firm History

IL

11/11/2016 - Present

Kroll Securities LLC (CHICAGO IL)

IL

12/16/2005 - 12/04/2008

DUFF & PHELPS SECURITIES LLC (CHICAGO IL)

IL

04/30/1999 - 11/22/2005

HOULIHAN SMITH & COMPANY, INC. (CHICAGO IL)

CA

03/12/1997 - 10/09/1997

CAPITAL ALLIANCE INVESTMENTS INCORPORATED (IRVINE CA)

CA

10/08/1996 - 12/31/1996

FOOTHILL SECURITIES, INC. (SANTA CLARA CA)

NA

01/27/1993 - 10/28/1994

TECHNOLOGY FUNDING SECURITIES CORPORATION

NY

09/25/1990 - 02/13/1992

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/28/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/08/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/10/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Sumner Estes. Review regulatory record here.
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