Mick J. Mcdermott
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.
Mick James Mcdermott was a registered financial professional .
Mick is a previously registered financial professional and started their career in finance in 1982. Mick had worked at 5 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
March 29, 2006 - December 31, 2006
FIRST MIDWEST SECURITIES, INC.
December 6, 1999 - March 30, 2004
SII INVESTMENTS, INC.
June 9, 1989 - March 28, 2000
LISS FINANCIAL SERVICES
October 7, 1987 - June 13, 1989
CITIGROUP GLOBAL MARKETS INC.
March 30, 1982 - August 15, 1987
UBS FINANCIAL SERVICES INC.
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 MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
