Michael T. Lemons
Professional summary
Michael Thomas Lemons 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 1985. Prior to being barred, Michael had worked at 7 firms, which includes NATIONWIDE SECURITIES LLC, USALLIANZ SECURITIES INC., THE O.N. EQUITY SALES COMPANY, OSAIC FS INC., ADVANTAGE CAPITAL CORPORATION, TOWER SQUARE SECURITIES INC., LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2003 - January 12, 2004
NATIONWIDE SECURITIES, LLC
January 6, 1999 - October 14, 2002
USALLIANZ SECURITIES, INC.
February 12, 1996 - January 21, 1999
THE O.N. EQUITY SALES COMPANY
September 21, 1994 - February 21, 1996
OSAIC FS, INC.
August 15, 1994 - September 21, 1994
ADVANTAGE CAPITAL CORPORATION
February 23, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
July 24, 1992 - March 14, 1994
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 3, 1990 - September 30, 1992
NATIONWIDE SECURITIES, LLC
March 27, 1985 - April 6, 1989
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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