Michael J. Deering
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 Joseph Deering, who also goes by Michael J Deering, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 7 firms and has passed the Series 63, SIE 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
March 3, 2010 - July 25, 2016
OPTIONSXPRESS, INC.
July 17, 2009 - January 8, 2010
DASH FINANCIAL TECHNOLOGIES LLC
June 15, 1993 - November 17, 1995
HOWE BARNES HOEFER & ARNETT, INC.
March 21, 1991 - June 11, 1993
WINTRUST INVESTMENTS LLC
September 21, 1988 - May 17, 1990
MESIROW FINANCIAL, INC.
February 3, 1988 - August 10, 1988
GRAYSTONE NASH, INC.
December 1, 1986 - January 25, 1988
ROSE & COMPANY INVESTMENT BROKERS, 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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 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.
