Michael Seals
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 Seals was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2019 - April 16, 2021
M&T SECURITIES, INC.
October 10, 2019 - April 16, 2021
M&T SECURITIES, INC.
May 1, 2017 - November 3, 2017
BB&T INVESTMENT SERVICES, INC.
May 1, 2017 - November 3, 2017
BB&T INVESTMENT SERVICES, INC.
November 8, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
November 8, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
October 20, 2015 - January 27, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2015 - January 27, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 2011 - July 20, 2015
USAA FINANCIAL PLANNING SERVICES
November 3, 2011 - July 20, 2015
USAA FINANCIAL ADVISORS, INC.
December 12, 2007 - September 30, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
July 6, 2005 - August 22, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - August 22, 2007
CHASE INVESTMENT SERVICES CORP.
March 25, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 25, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 1, 1998 - August 6, 2004
CHARLES SCHWAB & CO., INC.
October 21, 1991 - August 6, 2004
CHARLES SCHWAB & CO., INC.
December 24, 1990 - April 12, 1991
CITISTREET EQUITIES LLC
August 28, 1989 - February 27, 1990
FIDELITY BROKERAGE SERVICES LLC
August 24, 1988 - November 12, 1988
ROWLAND, SIMON & CO.
July 15, 1987 - December 19, 1987
J.P. MORGAN SECURITIES LLC
March 10, 1987 - July 21, 1987
MORGAN STANLEY DW INC.
August 16, 1985 - March 3, 1987
LEHMAN BROTHERS INC.
June 13, 1985 - August 20, 1985
FORESTERS FINANCIAL SERVICES, 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
Series 8
Date: 3/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| 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.
