Michael J. Foley
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 Joseph Foley, who also goes by Michael Joseph Foley, Michael Foley, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2022 - April 22, 2024
CAMBRIA CAPITAL, LLC
October 1, 2019 - May 12, 2021
SUTTER SECURITIES INCORPORATED
February 25, 2019 - November 21, 2019
SUTTER SECURITIES CLEARING, LLC
September 21, 2012 - January 3, 2018
TRIPLE A PARTNERS LLC
October 17, 2001 - December 31, 2002
ROCHDALE SECURITIES LLC
June 10, 1992 - January 3, 2001
STROME SECURITIES, L.P.
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 79TO
Date: 6/3/2019
Investment Banking Registered Representative ExaminationCurrent Firm
CAMBRIA CAPITAL, LLC
CRD#: 133760 / SEC#: 801-112108, 8-66768
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 10,552,928 |
Disclosures
| Regulatory Event | 3 |
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.
