Michael R. Sabino
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 Richard Sabino was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 8 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
January 24, 2012 - June 20, 2012
CAPSTONE INVESTMENTS
January 28, 2003 - November 18, 2011
C. L. KING & ASSOCIATES, INC.
October 13, 1999 - July 9, 2001
UBS SECURITIES LLC
December 18, 1998 - October 1, 1999
PITTSBURG INSTITUTIONAL INC.
September 29, 1998 - December 4, 1998
BLAYLOCK & COMPANY, INC.
December 4, 1995 - September 18, 1998
J.P. MORGAN SECURITIES LLC
December 23, 1985 - October 23, 1995
BOSTON INSTITUTIONAL SERVICES INCORPORATED
July 22, 1982 - April 12, 1983
SBC WARBURG DILLON READ 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
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
