Michael O. Pernice
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 Onofrio Pernice was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 10 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
April 26, 1999 - September 18, 2000
SANDS BROTHERS & CO., LTD.
August 27, 1997 - August 28, 1998
CIBC WORLD MARKETS CORP.
November 25, 1996 - June 11, 1997
CELADON FINANCIAL GROUP LLC
August 26, 1996 - January 9, 1997
AMERIVET SECURITIES, INC.
June 20, 1996 - September 10, 1996
MEYERS POLLOCK ROBBINS, INC.
August 23, 1995 - August 13, 1996
TOLUCA PACIFIC SECURITIES CORP.
April 25, 1995 - August 16, 1995
FAB SECURITIES OF AMERICA, INC.
April 10, 1995 - May 11, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
September 7, 1994 - April 4, 1995
A. T. BROD & CO. INC.
March 10, 1994 - September 13, 1994
ROBERT TODD FINANCIAL CORP.
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
SANDS BROTHERS & CO., LTD.
CRD#: 26816 / SEC#: , 8-42740
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 16 |
Red Flags
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