Michael A. Duby
Professional summary
Michael Anthony Duby was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Michael had worked at 6 firms, which includes EAST - WEST CAPITAL CORPORATION, TWC CAPITAL CORP., MARINER FINANCIAL SERVICES INC., IFG NETWORK SECURITIES INC., PLANNED INVESTMENTS INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1996 - February 11, 1997
EAST - WEST CAPITAL CORPORATION
September 15, 1995 - December 5, 1995
TWC CAPITAL CORP.
January 3, 1994 - September 1, 1995
MARINER FINANCIAL SERVICES, INC.
December 19, 1992 - January 12, 1994
IFG NETWORK SECURITIES, INC.
January 14, 1991 - December 31, 1992
PLANNED INVESTMENTS INC.
April 20, 1983 - January 30, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
EAST - WEST CAPITAL CORPORATION
CRD#: 16348 / SEC#: , 8-40740
Contact information
Documents
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