Michael E. Price
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 Eugene Price was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2021 - December 21, 2021
TRANSCEND CAPITAL ADVISORS, LLC
July 11, 2011 - February 25, 2020
UBS FINANCIAL SERVICES INC.
July 11, 2011 - February 25, 2020
UBS FINANCIAL SERVICES INC.
September 10, 2010 - July 26, 2011
J.P. MORGAN SECURITIES LLC
September 10, 2010 - July 26, 2011
J.P. MORGAN SECURITIES LLC
June 1, 2009 - September 30, 2010
MORGAN STANLEY
June 1, 2009 - September 30, 2010
MORGAN STANLEY
June 12, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 9, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
November 2, 1985 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 1984 - September 27, 1985
KIDDER, PEABODY & CO. INCORPORATED
June 22, 1983 - January 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
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 8
Date: 11/18/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,003 |
| AUM (Assets Under Management) | $ 3,099,629,575 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2025 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
