Michael J. Loftus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Joseph Loftus was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2012 - June 28, 2013
DOMINICK & DICKERMAN LLC
June 20, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
August 18, 2003 - October 18, 2011
SOLEIL SECURITIES CORPORATION
October 10, 2000 - July 25, 2003
CREDIT SUISSE SECURITIES (USA) LLC
September 15, 1998 - October 10, 2000
PERSHING LLC
June 6, 1996 - October 1, 1998
DEUTSCHE BANK SECURITIES INC.
June 23, 1992 - May 31, 1996
SALOMON BROTHERS INC.
April 23, 1982 - June 18, 1992
MORGAN STANLEY & CO. LLC
July 29, 1981 - April 23, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/11/2001
Limited Representative-Equity Trader ExamCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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