Michael E. Gassman
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 Edward Gassman was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7, 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
February 7, 2006 - December 3, 2010
INVESTORS CAPITAL CORP.
December 2, 2005 - December 3, 2010
INVESTORS CAPITAL CORP.
May 28, 2004 - December 5, 2005
OSAIC FA, INC.
May 19, 2004 - December 5, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 19, 2004 - December 5, 2005
OSAIC FA, INC.
November 2, 1990 - May 11, 2004
OSAIC FS, INC.
July 6, 1989 - December 9, 2004
INFORMED RESOURCES, INC.
June 18, 1989 - November 8, 1990
SUNAMERICA SECURITIES, INC.
September 26, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
May 16, 1984 - September 30, 1988
OSAIC FS, INC.
March 9, 1983 - June 24, 1985
NYLIFE SECURITIES LLC
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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