Michael J. Horan
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 John Horan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2011 - September 25, 2012
NATIONAL SECURITIES CORPORATION
April 14, 2003 - August 17, 2004
BIRKELBACH INVESTMENT SECURITIES, INC.
December 7, 1998 - July 9, 2002
SANCTUARY SECURITIES, INC.
December 16, 1995 - October 14, 1998
JOHN DAWSON & ASSOCIATES, INC.
August 1, 1984 - November 29, 1995
CIBC WORLD MARKETS CORP.
June 28, 1982 - July 24, 1984
MORGAN STANLEY DW INC.
January 25, 1982 - July 12, 1982
KIDDER, PEABODY & CO. 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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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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