Michael Rubin
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 Rubin, CFP®, who also goes by Mike Rubin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 6 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
July 10, 2015 - December 17, 2015
QUESTAR CAPITAL CORPORATION
April 20, 2004 - August 4, 2006
VOYA FINANCIAL ADVISORS, INC.
January 10, 2002 - June 28, 2002
CAPITAL SUISSE SECURITIES, INC.
August 29, 2000 - July 17, 2001
DIME SECURITIES, INC.
September 22, 1997 - August 28, 2000
CONSECO SECURITIES, INC.
January 20, 1996 - August 22, 1997
1717 CAPITAL MANAGEMENT COMPANY
April 15, 1994 - August 22, 1997
1717 CAPITAL MANAGEMENT COMPANY
April 7, 1989 - February 7, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 7, 1989 - February 7, 1994
EQUITABLE ADVISORS, LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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