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MS

Michael S. Segal

LINDEN THOMAS AND COMPANY SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 1811436
MS

Professional summary

Michael Scott Segal, who also goes by Michael Scott Segal, Michael Segal, is a registered financial professional currently at LINDEN THOMAS AND COMPANY SECURITIES, LLC located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Scott Segal | Michael Segal

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) - BD

Click below to view Michael Scott Segal's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 15, 2024 - Present

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Office #1: 516 N. Tryon Street, Charlotte, NC 28202
BD
CRD#: 290244
CHARLOTTE, NC
Past

April 7, 2020 - July 17, 2020

FIRST NATIONAL CAPITAL MARKETS

BD
CRD#: 115920
OMAHA, NE
Past

March 14, 2018 - October 2, 2018

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ALPHARETTA, GA
Past

May 21, 2014 - April 1, 2016

TRADEWEB DIRECT LLC

BD
CRD#: 103787
NEW YORK, NY
Past

March 1, 2007 - October 4, 2013

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
CHARLOTTE, NC
Past

October 29, 2004 - January 6, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
CHARLOTTE, NC
Past

October 20, 2004 - November 1, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

January 2, 2001 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

August 24, 1992 - January 2, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

November 23, 1990 - June 7, 1993

REFCO SECURITIES, LLC

BD
CRD#: 14094
NEW YORK, NY
Past

April 25, 1989 - May 11, 1989

BOYE HOLDINGS INC.

BD
CRD#: 19870
Past

April 20, 1988 - December 21, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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: 5/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/5/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 1/30/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/15/2000
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LT
LINDEN THOMAS AND COMPANY SECURITIES, LLC
LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
516 N. Tryon Street, Charlotte, NC 28202
Mailing Address
516 N. Tryon Street, Charlotte, NC 28202
Phone number
(704) 554-8150
Established
North Carolina since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINDEN THOMAS AND COMPANY, LLCMEMBER
HUNT, DAVID LEEFINOP2772872
SMITH, DAVID LEONCCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL2246779
THOMAS, STEPHEN LINDENMANAGING PRINCIPAL1789031

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.

Company Information

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244Charlotte, NC 28202

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