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Michael Lawrence Quiel

CRD# 1503025·Registered 1986 - 2001
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Lawrence Quiel was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1986 - 2001. Michael had worked at 11 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

GLOBAL FINANCIAL GROUP, INC.·CRD# 23958
BD
Minneapolis, MN
March 7, 1996 - April 25, 2001
DONALD & CO. SECURITIES INC.·CRD# 7776
BD
Tinton Falls, NJ
February 28, 1995 - March 1, 1996
SHAMROCK PARTNERS, LTD·CRD# 23955
BD
Media, PA
November 28, 1994 - February 15, 1995
MONACO SECURITIES, INC.·CRD# 15719
BD
Denver, CO
January 9, 1991 - October 28, 1994
WESTOK SECURITIES, INC.·CRD# 26096
BD
November 6, 1990 - November 29, 1990
BILTMORE EQUITIES & SECURITIES, LTD.·CRD# 16090
BD
June 29, 1989 - November 9, 1990
CENTURY FINANCIAL SECURITIES, INC.·CRD# 15280
BD
January 31, 1989 - August 16, 1989
PRINCETON AMERICAN EQUITIES CORPORATION·CRD# 14491
BD
September 14, 1988 - February 8, 1989
HAMILTON, WILLIAMS & CO., INC.·CRD# 17612
BD
March 16, 1988 - September 8, 1988
CENPAC SECURITIES CORP.·CRD# 16089
BD
November 7, 1987 - April 7, 1988
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
August 21, 1986 - October 1, 1987

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Current Firm

GF
GLOBAL FINANCIAL GROUP, INC.

GDN SECURITIES, LTD. | MILLER FINANCIAL GROUP, INC. | GLOBAL FINANCIAL GROUP, INC.

CRD#: 23958 / SEC#: 8-40814
BD
Terminated by SEC on 08/21/2001

Contact Information

Established

Colorado since 11/18/1988

Firm Type

Corporation

Fiscal Year End

January

Documents

Direct owners and executive officers

NamePositionCRD#
KSM HOLDING CORP.HOLDING COMPANY—
LARSON, DANIEL ERICFINANCIAL OPERATIONS1880719
LUIKENS, CECILIA MARYSENIOR COMPLIANCE OFFICER1257904
MILLER, KEVIN SCOTTPRESIDENT712204

Disclosures

Regulatory Event

3

Arbitration

5

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1996About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Sep 1991About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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