Michael S. Stanton
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 Salvatore Stanton, who also goes by Michael Stanton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 17 firms and has passed the Series 65, Series 63, SIE, 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
December 10, 2019 - September 14, 2022
SW FINANCIAL
December 14, 2016 - December 11, 2019
WORDEN CAPITAL MANAGEMENT LLC
February 25, 2013 - December 8, 2016
LEGEND SECURITIES, INC.
December 1, 2011 - March 13, 2013
OBSIDIAN FINANCIAL GROUP, LLC
September 21, 2005 - November 29, 2011
NATIONAL SECURITIES CORPORATION
September 17, 2003 - September 23, 2005
SUMMIT BROKERAGE SERVICES, INC.
March 28, 2003 - September 18, 2003
INDIANAPOLIS SECURITIES, INC.
July 9, 2001 - March 28, 2003
CAPITAL GROWTH FINANCIAL, LLC
May 10, 2001 - July 9, 2001
DALTON KENT SECURITIES GROUP, INC.
March 30, 2001 - June 8, 2001
BLUESTONE CAPITAL CORP.
September 18, 1998 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
April 17, 1998 - September 29, 1998
BARINGTON CAPITAL GROUP, L.P.
May 5, 1994 - April 14, 1998
D. H. BLAIR & CO., INC.
December 9, 1992 - April 26, 1994
H.J. MEYERS & CO., INC.
December 7, 1990 - December 3, 1992
GRUNTAL & CO., L.L.C.
May 18, 1989 - December 12, 1990
D. H. BLAIR & CO., INC.
July 27, 1988 - May 24, 1989
COMMONWEALTH ASSOCIATES
January 12, 1987 - December 12, 1990
D. H. BLAIR & CO., INC.
January 21, 1986 - January 16, 1987
J.P. MORGAN SECURITIES LLC
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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