Michael Ferranti
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 Ferranti, who also goes by Michael Robert Ferranti, Michael Samuel Ferranti, Mike Ferranti, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - June 22, 2017
R.W. SMITH & ASSOCIATES, LLC
October 16, 2002 - October 16, 2014
W.A. CAPITAL MARKETS
January 1, 2001 - February 14, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 2000 - January 1, 2001
MJK CLEARING, INC.
January 28, 2000 - October 15, 2002
R.W. SMITH & ASSOCIATES, LLC
February 10, 1999 - January 19, 2000
J.J. KENNY DRAKE, INC.
May 22, 1996 - February 10, 1999
CHAPDELAINE TULLETT PREBON, LLC
November 10, 1993 - April 26, 1996
CANTOR FITZGERALD SECURITIES
April 15, 1993 - April 26, 1996
MINT BROKERS
March 26, 1987 - February 16, 1993
TITUS & DONNELLY LLC
April 3, 1986 - April 14, 1987
LEHMAN BROTHERS INC.
August 22, 1984 - April 2, 1986
SAMUEL A. RAMIREZ & COMPANY, INC.
November 25, 1981 - August 16, 1984
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
Current Firm
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
