Julianne R. Michaels
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.
Julianne Rita Michaels, who also goes by Julian Rita Michaels, Julianne Rita Scarchilli, was a registered financial professional .
Julianne is a previously registered financial professional and started their career in finance in 1987. Julianne had worked at 7 firms and has passed the Series 63, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2011 - May 17, 2012
RIDGEWAY & CONGER, INC.
October 31, 2006 - July 13, 2009
M&T SECURITIES, INC.
January 1, 2005 - October 10, 2006
HSBC SECURITIES (USA) INC.
June 27, 1994 - January 1, 2005
HSBC BROKERAGE (USA) INC.
September 22, 1989 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 19, 1988 - September 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
April 29, 1987 - April 19, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
