Michael T. Shuttlesworth
Professional summary
Michael Taylor Shuttlesworth 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 advisor and started their career in finance in 1984. Prior to being barred, Michael had worked at 8 firms, which includes CROWN CAPITAL SECURITIES L.P., LPL FINANCIAL LLC, MUTUAL SERVICE CORPORATION, TITAN/VALUE EQUITIES GROUP INC., VSR FINANCIAL SERVICES INC., DERAND/PENNINGTON/BASS INC., PFS INVESTMENTS INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2010 - October 19, 2015
CROWN CAPITAL SECURITIES, L.P.
March 11, 2010 - October 19, 2015
CROWN CAPITAL SECURITIES, L.P.
September 8, 2009 - March 22, 2010
LPL FINANCIAL LLC
September 8, 2009 - March 22, 2010
LPL FINANCIAL LLC
April 17, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
October 11, 1991 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
December 2, 1986 - October 15, 1991
VSR FINANCIAL SERVICES, INC.
July 25, 1985 - December 13, 1986
DERAND/PENNINGTON/BASS, INC.
December 10, 1984 - August 7, 1985
PFS INVESTMENTS INC.
July 12, 1984 - October 15, 1984
FORESTERS FINANCIAL SERVICES, 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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