Michael D. Venable
Professional summary
Michael Douglas Venable was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Michael had worked at 6 firms, which includes MORGAN KEEGAN & COMPANY LLC, INVESTMENT PROFESSIONALS INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, PRINCIPAL FINANCIAL SECURITIESINC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2009 - April 29, 2010
MORGAN KEEGAN & COMPANY, LLC
February 2, 2009 - April 29, 2010
MORGAN KEEGAN & COMPANY, LLC
March 31, 2006 - February 4, 2009
INVESTMENT PROFESSIONALS, INC.
January 18, 2006 - February 4, 2009
INVESTMENT PROFESSIONALS, INC.
July 1, 2003 - January 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 19, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 30, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 30, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1998 - November 6, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 11, 1989 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
December 22, 1987 - November 26, 1988
EDWARD JONES
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
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