Michael L. Greenberg
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 Lawrence Greenberg was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - November 4, 2016
IMPERIAL CAPITAL, LLC
July 11, 2011 - January 10, 2012
WJB CAPITAL GROUP, INC.
February 29, 2008 - May 20, 2011
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
February 2, 2006 - January 2, 2007
CARLIN EQUITIES, LLC
September 8, 2004 - February 2, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
February 13, 1989 - September 8, 2004
MIDWOOD SECURITIES, INC.
January 28, 1988 - January 10, 1989
BOYE HOLDINGS INC.
November 18, 1986 - January 15, 1988
PURCELL GRAHAM INCORPORATED
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
Series 55
Date: 8/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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.
