Michael O. Pickens
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 Obrien Pickens 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 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
April 17, 1996 - September 16, 1996
FIRST LONDON SECURITIES CORPORATION
August 14, 1995 - April 1, 1996
COMVEST PARTNERS, INC.
March 1, 1994 - December 15, 1994
CULLUM & SANDOW SECURITIES, INC.
July 18, 1990 - December 31, 1991
CULLUM & SANDOW SECURITIES, INC.
December 5, 1989 - July 31, 1990
NAVIGATOR SECURITIES LIMITED
February 11, 1987 - May 18, 1988
PRIVATE BROKERS CORPORATION
March 21, 1985 - February 3, 1987
JEFFERIES LLC
September 12, 1984 - April 8, 1985
HILLTOP SECURITIES INC.
November 19, 1982 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
December 10, 1981 - December 7, 1982
PERSHING LLC
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
FIRST LONDON SECURITIES CORPORATION
CRD#: 29709 / SEC#: , 8-44399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DGN SECURITIES | SHAREHOLDER | |
| NICHOLS, DOUGLAS ROCKWELL | CEO, CFO, COO, SROP,CROP, DIRECTOR | 1584810 |
| TAYLOR, DEBRA JEAN | CORPORATE SECRETARY, DIRECTOR, CCO |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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