Michael J. Segura
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 James Segura was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2010 - January 20, 2012
SUMMIT BROKERAGE SERVICES, INC.
August 11, 2010 - December 31, 2011
SUMMIT FINANCIAL GROUP INC
October 10, 2007 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2007 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2006 - October 11, 2007
WESTPARK CAPITAL, INC.
August 6, 2002 - February 14, 2006
LINCOLN INVESTMENT
January 2, 2001 - February 14, 2006
LINCOLN INVESTMENT
September 16, 1999 - December 31, 2000
CETERA WEALTH SERVICES, LLC
May 29, 1998 - October 8, 1999
LPL FINANCIAL LLC
January 5, 1994 - May 29, 1998
CUE FINANCIAL GROUP, INC.
May 11, 1993 - January 11, 1994
GUARDIAN INVESTOR SERVICES LLC
December 22, 1992 - April 16, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 22, 1992 - April 16, 1993
SIGNATOR INVESTORS, INC.
May 28, 1992 - November 10, 1992
MML INVESTORS SERVICES, LLC
May 2, 1990 - December 3, 1991
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - December 3, 1991
MSI FINANCIAL SERVICES, INC.
May 26, 1989 - April 25, 1990
UR FINANCIAL, 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
Current Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
