Michael M. Finley
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 Monroe Finley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 2 firms and has passed the Series 63, Series 62, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2010 - December 9, 2010
ROPEMAKER CAPITAL, LLC
August 21, 1985 - January 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 2/18/2010
Corporate Securities Limited Representative ExaminationSeries 5
Date: 10/14/1986
Interest Rate Options ExaminationCurrent Firm
ROPEMAKER CAPITAL, LLC
CRD#: 149310 / SEC#: , 8-68133
Contact information
Documents
Red Flags
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