Michael F. Foy
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 Francis Foy, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - January 23, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 8, 2013 - April 9, 2013
LPL FINANCIAL LLC
August 8, 2011 - April 9, 2013
LPL FINANCIAL LLC
October 27, 2006 - March 28, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 23, 2005 - September 11, 2006
MFS FUND DISTRIBUTORS, INC.
May 30, 2002 - March 16, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 2, 2002 - May 9, 2002
DFC INVESTOR SERVICES
August 18, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 18, 1988 - August 8, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 18, 1988 - August 8, 2000
OSAIC FA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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