Michael C. Koffler
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 Charles Koffler, who also goes by Michael C Koffler, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1999 - May 24, 2000
NATHAN & LEWIS SECURITIES, INC.
March 14, 1995 - October 29, 1999
MHL INVESTMENTS
May 12, 1988 - December 31, 1994
NEW ENGLAND SECURITIES
August 6, 1986 - February 22, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1986 - July 2, 1986
MHL INVESTMENTS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NATHAN & LEWIS SECURITIES, INC.
CRD#: 8503 / SEC#: , 8-25463
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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