Michael D. Rubin
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 Rubin, who also goes by Mike Rubin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 15 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6, Series 7, Series 22, Series 8, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2018 - February 21, 2018
EMPOWER FINANCIAL SERVICES, INC.
June 16, 2011 - March 16, 2012
LPL ENTERPRISE, LLC
September 29, 2006 - November 14, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 28, 2006 - November 14, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 11, 2005 - April 21, 2006
COMMONWEALTH FINANCIAL NETWORK
October 6, 2005 - April 21, 2006
COMMONWEALTH FINANCIAL NETWORK
April 8, 2005 - August 16, 2005
FIDELITY BROKERAGE SERVICES LLC
April 19, 2000 - October 29, 2004
STRATEGIC ADVISERS LLC
November 3, 1993 - October 29, 2004
FIDELITY BROKERAGE SERVICES LLC
January 4, 1993 - October 14, 1993
CETERA INVESTMENT SERVICES LLC
November 4, 1991 - January 4, 1993
G.R. STUART & COMPANY, INC.
September 13, 1991 - November 6, 1991
JORGENSEN SECURITIES INC.
July 8, 1991 - August 22, 1991
DICKINSON & CO.
September 14, 1990 - April 23, 1991
AMERIPRISE ADVISOR SERVICES, INC.
May 29, 1990 - September 11, 1990
JJC SECURITIES CO., INC.
May 11, 1989 - May 29, 1990
JSC SECURITIES, INC.
May 4, 1988 - December 8, 1988
THE STUART-JAMES COMPANY, INCORPORATED
September 24, 1984 - May 26, 1988
SIGNATOR INVESTORS, 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
Series 8
Date: 1/31/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
