Michael S. Falk
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 Scott Falk, who also goes by Mike Falk, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 9 firms and has passed the Series 65, Series 63 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 2, 2012 - December 9, 2014
MICHAEL S. FALK ASSET CONSULTING
March 30, 2006 - August 26, 2010
PROMANAGE, LLC
May 20, 1999 - November 21, 2003
THE FINANCIAL CONCEPTS COMPANY
August 22, 1997 - March 31, 1999
MUTUAL SERVICE CORPORATION
August 13, 1992 - August 25, 1997
MARINER FINANCIAL SERVICES, INC.
November 22, 1989 - August 7, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 22, 1989 - August 7, 1992
EQUITABLE ADVISORS, LLC
August 10, 1989 - December 22, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 10, 1989 - December 22, 1989
PRUCO SECURITIES, 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
MICHAEL S. FALK ASSET CONSULTING
CRD#: 155881 / SEC#: 801-72165
Contact information
Red Flags
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