Michael S. Tanguay
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 Stabert Tanguay was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2011 - May 27, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 18, 2011 - May 27, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 18, 2009 - June 2, 2014
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
November 12, 2007 - July 12, 2008
EASTBROOK CAPITAL GROUP LLC
May 5, 2005 - June 14, 2007
MML INVESTORS SERVICES, LLC
May 5, 2005 - June 14, 2007
MML DISTRIBUTORS, LLC
November 19, 2004 - April 28, 2005
FLAGLER DRIVE FINANCIAL, L.P.
July 16, 2001 - October 15, 2004
MMC SECURITIES LLC
April 5, 2001 - July 13, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 5, 2001 - July 13, 2001
OSAIC FA, INC.
July 16, 1999 - December 7, 2000
PRUCO SECURITIES, LLC.
January 26, 1998 - June 8, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 26, 1998 - June 8, 1999
EQUITABLE ADVISORS, LLC
July 1, 1982 - December 31, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
