Michael J. Stevens
Professional summary
Michael Joseph Stevens is a registered financial professional currently at INSPEREX LLC located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 16 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Stevens's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2020 - Present
INSPEREX LLC
Office #1: 5605 Carnegie Blvd Suite 150, Charlotte, NC 28209May 6, 2016 - June 29, 2020
BROWNSTONE INVESTMENT GROUP, LLC
May 30, 2014 - May 10, 2016
INSPEREX LLC
August 26, 2011 - January 28, 2014
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 1, 2011 - August 23, 2011
COHEN & COMPANY SECURITIES, LLC
April 9, 2008 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
January 7, 2005 - January 18, 2008
FHN FINANCIAL SECURITIES CORP.
June 12, 2000 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 13, 1996 - June 15, 2000
LEGG MASON WOOD WALKER, INCORPORATED
August 3, 1995 - November 29, 1995
WATERFORD FINANCIAL, INC.
March 28, 1995 - April 30, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
March 19, 1993 - February 16, 1995
DAIN RAUSCHER INCORPORATED
March 20, 1992 - March 10, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 2, 1991 - April 30, 1992
DAIN RAUSCHER INCORPORATED
July 26, 1990 - November 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1988 - August 2, 1990
ROBERT W. BAIRD & CO. INCORPORATED
June 18, 1987 - January 15, 1988
LEHMAN BROTHERS INC.
March 19, 1984 - August 2, 1990
ROBERT W. BAIRD & CO. INCORPORATED
December 21, 1983 - January 23, 1984
CITIGROUP GLOBAL MARKETS 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
(6/3/2020)
(7/16/2020)
(9/10/2020)
(9/14/2020)
(8/3/2020)
(6/3/2020)
(6/3/2020)
(7/20/2020)
(6/3/2020)
(7/16/2020)
(6/3/2020)
(7/27/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/11/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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