Michael P. Noto
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 Peter Noto, who also goes by Mike Peter Noto, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 4 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
February 23, 1990 - June 1, 1990
PCI FINANCIAL SERVICES, INC.
September 28, 1989 - August 7, 1991
ANDREW ALEN SECURITIES, INC.
March 8, 1989 - July 26, 1990
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
December 20, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PCI FINANCIAL SERVICES, INC.
CRD#: 25728 / SEC#: , 8-41989
Contact information
Documents
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.
