Unclaimed Profile

Michael Edward Dockendorf

ADVANCED EQUITIES, INC.·CHICAGO, Illinois

SIE, Series 7, Series 8, Series 9, Series 10, Series 15, Series 63, Series 65, Series 99TO28 years registeredADVANCED EQUITIES, INC.

311 SOUTH WACKER, CHICAGO, IL 60606CRD# 834115Firm CRD# 35545

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Michael Edward Dockendorf · CHICAGO, IL

Registration

CRD #834115 · ADVANCED EQUITIES, INC. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

Nov 2011 – Nov 2012

CHICAGO, IL

RBC CAPITAL MARKETS, LLC

Sep 2004 – Dec 2011

CHICAGO, IL

CREDIT SUISSE FIRST BOSTON

Jan 2003 – Oct 2004

CHICAGO, IL

DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

Jun 1998 – Jan 2003

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 9

Series 10

Series 15

Series 63

Series 65

Series 99TO

Registration record

First registered · June 13, 1998

Years registered · 28

Disclosure History

1995Customer Dispute·Award / Judgment

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ADVANCED EQUITIES, INC.

CRD 35545 · SEC 801-67983

AUM

$868M

Regulatory assets under management

Employees

209 client accounts

Services offered by ADVANCED EQUITIES, INC.

Per Form ADV

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at ADVANCED EQUITIES, INC. →

Introduction

Speak with Michael Edward

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Michael Edward is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CHICAGO?

Browse all registered financial advisors in CHICAGO, Illinois or claim this profile if it's yours.

Browse CHICAGO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Michael Edward Dockendorf offer?

Michael Edward Dockendorf specializes in Retirement Planning.

What are Michael Edward Dockendorf's credentials?

Michael Edward Dockendorf is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Michael Edward Dockendorf located?

Michael Edward Dockendorf is based in CHICAGO, Illinois, last registered with ADVANCED EQUITIES, INC..

How does Michael Edward Dockendorf charge for services?

Michael Edward Dockendorf's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ADVANCED EQUITIES, INC.?

ADVANCED EQUITIES, INC. has approximately 51 employees and manages $868M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →