Michael J. Otten
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 Otten, who also goes by Mike Otten, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2000 - December 6, 2012
CHAUNER SECURITIES, INC.
May 19, 1993 - May 2, 2000
OGILVIE SECURITY ADVISORS CORPORATION
April 29, 1987 - December 31, 1992
WATERSTONE FINANCIAL GROUP, INC.
January 16, 1984 - March 5, 1985
RESOURCE DEVELOPMENT INTERNATIONAL, LTD.
April 26, 1982 - February 16, 1984
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CHAUNER SECURITIES, INC.
CRD#: 10075 / SEC#: , 8-33980
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
