Michael E. Tippy
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 Edward Tippy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1991 - October 27, 1993
CLEARING SERVICES OF AMERICA, INC.
September 4, 1990 - August 5, 1991
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1989 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
May 14, 1988 - May 4, 1989
LEHMAN BROTHERS INC.
July 18, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 28, 1985 - July 12, 1985
THOMSON MCKINNON SECURITIES INC.
November 23, 1983 - October 1, 1984
A. G. EDWARDS & SONS, INC.
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
CLEARING SERVICES OF AMERICA, INC.
CRD#: 23623 / SEC#: , 8-40560
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 2 |
| Arbitration | 6 |
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.
