Michael J. Mahoney
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 James Mahoney was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2021 - March 14, 2024
FALCON POINT CAPITAL, LLC
March 31, 2003 - December 31, 2009
FALCON POINT CAPITAL, LLC
January 2, 2003 - April 21, 2003
EGM CAPITAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FALCON POINT CAPITAL, LLC
CRD#: 122459 / SEC#: 801-61442
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Active | 4/23/2024 |
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.
