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MS

Michelle P. Suppes

Some features on this profile are disabled
CRD#: 1537366
MS

Professional summary

Michelle Pamela Suppes was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michelle is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michelle had worked at 8 firms, which includes SUPPES SECURITIES INC., YAEGER SECURITIES INC., FIRST AMERICA EQUITIES CORP., JOSEPHTHAL & CO. INC., ANDERSON BRYANT & CO., BERKELEY SECURITIES CORPORATION, ROBYNS CAPITAL CORP., FIRST AMERICAN CAPITAL RESOURCES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 9, 1991 - February 5, 1997

SUPPES SECURITIES, INC.

BD
CRD#: 13722
NYC, NY
Past

August 22, 1990 - May 14, 1991

YAEGER SECURITIES, INC.

BD
CRD#: 10118
Past

March 20, 1990 - September 13, 1991

FIRST AMERICA EQUITIES CORP.

BD
CRD#: 7652
Past

January 4, 1990 - February 24, 1990

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

September 21, 1989 - January 20, 1990

ANDERSON, BRYANT & CO.

BD
CRD#: 13185
Past

September 6, 1989 - October 9, 1989

BERKELEY SECURITIES CORPORATION

BD
CRD#: 8397
NEW YORK, NY
Past

December 20, 1988 - September 13, 1991

ROBYNS CAPITAL CORP.

BD
CRD#: 19980
Past

September 24, 1987 - November 22, 1988

FIRST AMERICAN CAPITAL RESOURCES, INC.

BD
CRD#: 16818

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/21/1991
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/29/1990
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/1990
General Securities Principal Examination

Current Firm

SS
SUPPES SECURITIES, INC.
LMC CORPORATION | SUPPES SECURITIES, INC.

CRD#: 13722 / SEC#: , 8-29708

BD
Cancelled by SEC on 08/29/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 09/07/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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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Company Information

SUPPES SECURITIES, INC.

CRD#: 13722

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