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Michelle Pamela Suppes

CRD# 1537366·Registered 1987 - 1997
Barred: Michelle Pamela Suppes was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Michelle Pamela Suppes was a registered financial advisor. Michelle was a previously registered financial professional and started their career in finance 1987 - 1997. Michelle had worked at 8 firms and has passed the Series 63, Series 7, Series 4, Series 27 and Series 24 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

39 years in the financial services industry

Current & Past Employments

SUPPES SECURITIES, INC.·CRD# 13722
BD
Nyc, NY
May 9, 1991 - February 5, 1997
YAEGER SECURITIES, INC.·CRD# 10118
BD
August 22, 1990 - May 14, 1991
FIRST AMERICA EQUITIES CORP.·CRD# 7652
BD
March 20, 1990 - September 13, 1991
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
January 4, 1990 - February 24, 1990
ANDERSON, BRYANT & CO.·CRD# 13185
BD
September 21, 1989 - January 20, 1990
BERKELEY SECURITIES CORPORATION·CRD# 8397
BD
New York, NY
September 6, 1989 - October 9, 1989
ROBYNS CAPITAL CORP.·CRD# 19980
BD
December 20, 1988 - September 13, 1991
FIRST AMERICAN CAPITAL RESOURCES, INC.·CRD# 16818
BD
September 24, 1987 - November 22, 1988

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Current Firm

SS
SUPPES SECURITIES, INC.

LMC CORPORATION | SUPPES SECURITIES, INC.

CRD#: 13722 / SEC#: 8-29708
BD
Cancelled by SEC on 08/29/1997

Contact Information

Established

Connecticut since 09/07/1982

Firm Type

Corporation

Fiscal Year End

December

Documents

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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 Oct 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1987About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Aug 1991About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 1990About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Oct 1990About the Series 24 exam

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CRS (Client Relationship Summary)

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

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