Humbert A. Michini
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.
Humbert Anthony Michini III, who also goes by Duke Michini III, Duke Michini, Humbert Anthony Michini, was a registered financial professional .
Humbert is a previously registered financial professional and started their career in finance in 1985. Humbert had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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 11, 2010 - November 5, 2015
NFSG CORPORATION
May 11, 2010 - November 5, 2015
NEWBRIDGE SECURITIES CORPORATION
February 26, 2009 - March 8, 2010
INDEPENDENT FINANCIAL GROUP, LLC
January 8, 2009 - March 8, 2010
INDEPENDENT FINANCIAL GROUP, LLC
June 30, 2006 - December 26, 2008
FIRST ALLIED SECURITIES, INC.
June 26, 2006 - December 26, 2008
FIRST ALLIED SECURITIES, INC.
October 31, 2005 - July 27, 2006
OSAIC SERVICES, INC.
October 31, 2005 - July 27, 2006
OSAIC SERVICES, INC.
September 9, 1996 - October 31, 2005
SENTRA SECURITIES CORPORATION
September 9, 1996 - October 31, 2005
SENTRA SECURITIES CORPORATION
May 9, 1994 - September 19, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - May 23, 1994
CITIGROUP GLOBAL MARKETS INC.
June 19, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
October 7, 1988 - June 30, 1989
J. B. HANAUER & CO.
March 7, 1988 - September 26, 1988
FLAGLER SECURITIES, INC.
November 26, 1985 - June 30, 1989
J. B. HANAUER & CO.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
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