Michael C. Baffoe
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 Connor Baffoe, who also goes by Duke Baffoe, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2013 - March 19, 2014
GAIN SECURITIES
January 27, 2010 - December 1, 2011
MF GLOBAL INC.
April 22, 2008 - December 16, 2008
WEXTRUST SECURITIES LLC
October 25, 2006 - June 8, 2007
CHICAGO INVESTMENT GROUP, LLC
March 3, 2006 - October 23, 2006
ADVANCED EQUITIES, INC.
March 31, 2000 - October 10, 2001
CITICORP INVESTMENT SERVICES
July 15, 1991 - July 30, 1991
J. W. GANT & ASSOCIATES, INC.
January 25, 1989 - July 17, 1989
J. W. GANT & ASSOCIATES, INC.
August 30, 1988 - January 23, 1989
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GAIN SECURITIES
CRD#: 16203 / SEC#: , 8-33541
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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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