John M. Fay
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.
John Michael Fay, who also goes by J Michael Fay, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2004 - July 6, 2006
PACIFIC FINANCIAL ASSOCIATES, INC.
February 9, 1996 - May 5, 2014
CLAREMONT FINANCIAL GROUP,INC.
May 6, 1988 - December 31, 2004
ASSOCIATED SECURITIES CORP.
June 22, 1982 - May 11, 1988
WADDELL & REED
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
PACIFIC FINANCIAL ASSOCIATES, INC.
CRD#: 23772 / SEC#: , 8-40712
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
