Michael D. Ice
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 David Ice was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2010 - October 22, 2014
SEAPORT GLOBAL SECURITIES LLC
August 1, 2008 - January 26, 2010
MORGAN JOSEPH TRIARTISAN LLC
April 12, 2005 - January 17, 2008
HSBC SECURITIES (USA) INC.
December 9, 2003 - October 21, 2004
COMMERZ MARKETS LLC
April 9, 2002 - March 28, 2003
UBS SECURITIES LLC
October 11, 1992 - September 15, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1988 - August 26, 1992
DB ALEX. BROWN LLC
July 31, 1984 - February 25, 1989
DREXEL BURNHAM LAMBERT 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
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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