Michael J. Novick
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 Jay Novick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2016 - July 18, 2016
BEVERLY HILLS WEALTH MANAGEMENT, LLC
March 17, 2015 - May 26, 2016
TELLING INVESTMENTS LLC
June 1, 2009 - November 13, 2014
MORGAN STANLEY
June 1, 2009 - November 13, 2014
MORGAN STANLEY
October 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 2, 2007 - October 8, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 8, 2008
MORGAN STANLEY & CO. LLC
September 5, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
October 26, 1984 - April 2, 2007
MORGAN STANLEY DW 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
BEVERLY HILLS WEALTH MANAGEMENT, LLC
CRD#: 152031 / SEC#: 801-76566
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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