Michael E. Zulick
Professional summary
Michael Edmond Zulick 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 professional and started their career in finance in 1988. Prior to being barred, Michael had worked at 2 firms, which includes NI SECURITIES CORP., XTENT FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 1996 - April 16, 2001
NI SECURITIES CORP.
June 21, 1988 - June 9, 1996
XTENT FINANCIAL GROUP, 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
Series 28
Date: 10/28/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
NI SECURITIES CORP.
CRD#: 30444 / SEC#: , 8-44931
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
