Michael E. Harrington
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 Edward Harrington, CIMA® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2013 - July 24, 2018
IMST DISTRIBUTORS, LLC
December 3, 2007 - August 7, 2018
OAK RIDGE INVESTMENTS, LLC
September 18, 2006 - May 9, 2013
AMUNDI DISTRIBUTOR US, INC.
June 3, 2003 - November 23, 2004
OAK RIDGE INVESTMENTS, INC.
October 25, 2002 - May 9, 2003
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
February 1, 1995 - May 9, 2003
DWS DISTRIBUTORS, INC.
February 18, 1986 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
October 26, 1984 - December 27, 1985
J.J.B. HILLIARD, W.L. LYONS, LLC
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
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
