Michelle A. Ashen
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.
Michelle Ann Ashen was a registered financial advisor .
Michelle is a previously registered financial advisor and started their career in finance in 1997. Michelle had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2004 - July 29, 2004
SCF SECURITIES, INC.
November 21, 2001 - October 3, 2002
EASTERN POINT ADVISORS INC.
December 20, 1999 - October 3, 2002
INVESTORS CAPITAL CORP.
January 1, 1999 - November 19, 1999
QUEST CAPITAL STRATEGIES, INC.
February 26, 1997 - November 25, 1998
NATIONAL PLANNING CORPORATION
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
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
