Michael E. Marciniak
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 Marciniak, who also goes by Michael Marciniak, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 3, 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
November 10, 2009 - January 8, 2014
DLS CAPITAL MANAGEMENT, LLC
July 31, 1993 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 6, 2009
CITIGROUP GLOBAL MARKETS INC.
July 10, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
August 24, 1983 - May 27, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 8/24/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DLS CAPITAL MANAGEMENT, LLC
CRD#: 151217 / SEC#: 801-70534
Contact information
Red Flags
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