Michael P. Molloy
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 Patrick Molloy, who also goes by Mike Molloy, 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 63, Series 7, Series 53 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
May 4, 2007 - July 31, 2009
RIDGEWAY & CONGER, INC.
February 21, 2006 - May 1, 2007
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
May 14, 2002 - February 16, 2006
HENNION & WALSH, INC.
November 27, 1996 - May 13, 2002
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
November 16, 1988 - December 12, 1996
HALPERT AND COMPANY, INC.
May 28, 1985 - April 12, 1989
UBS FINANCIAL SERVICES INC.
November 21, 1984 - May 13, 1985
ROONEY, PACE 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
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
