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Michael V. Shustek

Some features on this profile are disabled
CRD#: 1200817
MS

Professional summary

Michael Vincent Shustek was barred by the SEC 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 3 firms, which includes MVP AMERICAN SECURITIES, VESTIN CAPITAL INC., PFS INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 17, 2012 - February 15, 2018

MVP AMERICAN SECURITIES

BD
CRD#: 118286
San Diego, CA
Past

May 28, 1999 - December 15, 2006

VESTIN CAPITAL, INC.

BD
CRD#: 46486
LAS VEGAS, NV
Past

November 19, 1983 - December 31, 1989

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/21/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/8/1999
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/9/1999
Direct Participation Programs Principal Examination

Current Firm

MA
MVP AMERICAN SECURITIES
ASHTON GARNETT SECURITIES, LLC | VALUED FINANCIAL | UNITED NORTHWEST SECURITIES | MVP AMERICAN SECURITIES, LLC | MVP AMERICAN SECURITIES | DAE ENTERPRISES, LTD. | DAE ENTERPRISES, LTD

CRD#: 118286 / SEC#: , 8-53649

BD
Terminated by SEC on 04/16/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 02/19/2014
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MS MVP HOLDINGSMANAGING MEMBER
HADDOW, SHANNON MAUREENCHIEF COMPLIANCE OFFICER4186633
HARMAN, MICHAEL DENISFIN-OP4200831

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MVP AMERICAN SECURITIES

CRD#: 118286

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