Michael G. Velasco
Professional summary
Michael Gerard Velasco 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 1988. Prior to being barred, Michael had worked at 8 firms, which includes GUNNALLEN FINANCIAL INC, CAPFI PARTNERS LLC, DEUTSCHE BANK SECURITIES INC., UBS SECURITIES LLC, SBC WARBURG DILLON READ INC., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2005 - January 19, 2006
GUNNALLEN FINANCIAL, INC
April 21, 2004 - February 7, 2005
CAPFI PARTNERS LLC
February 1, 2001 - February 20, 2004
DEUTSCHE BANK SECURITIES INC.
June 29, 1998 - February 20, 2001
UBS SECURITIES LLC
April 8, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
October 5, 1993 - April 23, 1998
UBS FINANCIAL SERVICES INC.
July 31, 1993 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
June 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
