Michael A. Sprick
Professional summary
Michael Arlan Sprick was barred by the FINRA 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 1984. Prior to being barred, Michael had worked at 4 firms, which includes DOMINION CAPITAL CORPORATION, AVANTAX INVESTMENT SERVICES INC., NORTH AMERICAN MANAGEMENT INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1994 - August 10, 1998
DOMINION CAPITAL CORPORATION
June 11, 1990 - December 9, 1994
AVANTAX INVESTMENT SERVICES, INC.
February 24, 1989 - July 17, 1990
NORTH AMERICAN MANAGEMENT, INC.
February 23, 1984 - February 15, 1989
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
DOMINION CAPITAL CORPORATION
CRD#: 18837 / SEC#: , 8-36989
Contact information
Documents
Red Flags
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