Michael L. Sheldon
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 Sheldon was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 5 firms and has passed the Series 63, Series 79, Series 7 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
June 7, 2010 - June 30, 2014
RK EQUITY CAPITAL MARKETS LLC
November 30, 1993 - November 22, 1999
TCW FUNDS DISTRIBUTORS LLC
November 13, 1992 - September 8, 1993
CIBC WORLD MARKETS CORP.
July 17, 1989 - August 12, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1987 - February 13, 1989
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
RK EQUITY CAPITAL MARKETS LLC
CRD#: 148084 / SEC#: , 8-67966
Contact information
Documents
Red Flags
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