Michael A. Cullen
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 Anthony Cullen was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
April 25, 2003 - April 13, 2016
MDB CAPITAL
October 14, 2002 - April 25, 2003
FIRST SECURITIES USA, INC.
April 15, 2002 - December 31, 2002
BROOKSTREET SECURITIES CORPORATION
May 22, 2000 - April 18, 2002
ROTH CAPITAL PARTNERS, LLC
November 16, 1998 - May 16, 2000
E*OFFERING
November 28, 1997 - May 28, 1998
WILLIAM O'NEIL SECURITIES
February 4, 1988 - April 15, 1994
WILLIAM O'NEIL SECURITIES
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
Series 55
Date: 11/14/1998
Limited Representative-Equity Trader ExamCurrent Firm
MDB CAPITAL
CRD#: 42677 / SEC#: , 8-49951
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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