Michael J. Vertin
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 John Vertin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the Series 63, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 1999 - October 24, 2001
STUART SECURITIES CORP.
June 6, 1994 - November 15, 1995
WMA SECURITIES, INC.
December 11, 1991 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 10, 1988 - December 31, 1989
MARINER FINANCIAL SERVICES, INC.
April 19, 1988 - June 9, 1988
THE ADVISORS GROUP, INC.
March 31, 1988 - April 27, 1988
THE VARIABLE ANNUITY MARKETING COMPANY
January 7, 1988 - April 12, 1988
SIGMA FINANCIAL CORPORATION
November 25, 1987 - January 1, 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
STUART SECURITIES CORP.
CRD#: 47076 / SEC#: , 8-51666
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STUART FINANCIAL CORP. | OWNER | |
| TONNER, KELVIN GORDON | CCO, SECRETARY & TREASURER | 4525875 |
Disclosures
| Regulatory Event | 2 |
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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