Michael J. Dayton
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 James Dayton, who also goes by Mike Dayton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 11 firms and has passed the Series 63, 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
June 12, 2002 - December 31, 2002
FIRST SECURITIES USA, INC.
October 2, 1996 - June 7, 2002
FIRST SECURITIES USA, INC.
August 16, 1996 - September 10, 1996
PROSPERA FINANCIAL SERVICES, INC.
February 10, 1995 - July 22, 1996
SMITH CULVER INVESTMENTS
August 11, 1994 - January 24, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 10, 1991 - August 4, 1994
HIBBARD BROWN & CO., INC.
May 29, 1991 - September 19, 1991
CHATFIELD DEAN & CO., INC.
January 16, 1990 - August 10, 1990
JOSEPHTHAL & CO., INC.
April 19, 1989 - December 21, 1989
ANDREW ALEN SECURITIES, INC.
February 7, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
October 6, 1988 - December 21, 1988
B C FINANCIAL CORPORATION
July 23, 1985 - November 3, 1988
BLINDER, ROBINSON & CO., 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
FIRST SECURITIES USA, INC.
CRD#: 39986 / SEC#: , 8-48922
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
