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MW

Michael J. Wills

Some features on this profile are disabled
CRD#: 1674681
MW

Professional summary

Michael John Wills was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 10 firms, which includes WINDHAM SECURITIES INC., CANTONE RESEARCH INC., J.W. BARCLAY & CO. INC., NORTHEAST SECURITIES LLC, COMMONWEALTH ASSOCIATES, A.S. GOLDMEN & CO. INC., JOSEPHTHAL & CO. INC., MARKETFIELD SECURITIES LIMITED, NORTH AMERICAN INVESTMENT CORP., PHILIPS APPEL & WALDEN INC..

top-8-questions

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

March 25, 2002 - December 31, 2002

WINDHAM SECURITIES, INC.

BD
CRD#: 20529
NEW YORK, NY
Past

February 8, 2001 - March 21, 2002

CANTONE RESEARCH INC.

BD
CRD#: 26314
EATONTOWN, NJ
Past

August 12, 1991 - January 16, 2001

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

July 31, 1991 - August 12, 1991

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

May 1, 1990 - July 23, 1991

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

February 10, 1989 - June 15, 1990

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

January 3, 1989 - January 25, 1989

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

August 15, 1988 - September 13, 1989

MARKETFIELD SECURITIES LIMITED

BD
CRD#: 7682
Past

December 8, 1987 - July 25, 1988

NORTH AMERICAN INVESTMENT CORP.

BD
CRD#: 7568
Past

July 21, 1987 - December 19, 1987

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659

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: 8/11/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/1992
General Securities Principal Examination

Current Firm

WS
WINDHAM SECURITIES, INC.
OAKMONT EQUITIES, INC. | WINDHAM SECURITIES, INC.

CRD#: 20529 / SEC#: , 8-38311

BD
Cancelled by SEC on 10/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/17/1987
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTANTIN RESOURCES GROUP, INC.HOLDING CORPORATION
CONSTANTIN, JOSHUACEO/PRESIDENT/CCO3221893
GENDRON, KAREN MARIEFINOP1503330

Disclosures

Regulatory Event5
Civil Event1

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

WINDHAM SECURITIES, INC.

CRD#: 20529

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