Michael A. Visbal
Professional summary
Michael Anthony Visbal 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 6 firms, which includes ROUND HILL SECURITIES INC., WALDRON & CO. INC., WELLS FARGO CLEARING SERVICES LLC, J.P. MORGAN SECURITIES LLC, PRUDENTIAL EQUITY GROUP LLC, DREXEL BURNHAM LAMBERT INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1998 - March 22, 2001
ROUND HILL SECURITIES, INC.
July 15, 1997 - January 12, 1998
WALDRON & CO., INC.
May 31, 1994 - July 14, 1997
WELLS FARGO CLEARING SERVICES, LLC
April 12, 1990 - May 9, 1994
J.P. MORGAN SECURITIES LLC
May 24, 1989 - April 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1984 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/10/1984
Interest Rate Options ExaminationCurrent Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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