Michael S. Driscoll
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 Sean Driscoll, who also goes by Micahel Sean Driscoll, Mike Driscoll, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
December 5, 2005 - December 21, 2012
CIBC WORLD MARKETS CORP.
January 13, 2001 - November 29, 2005
DEUTSCHE BANK SECURITIES INC.
September 17, 1998 - January 13, 2001
DB ALEX. BROWN LLC
April 3, 1992 - February 8, 1993
ABN AMRO SECURITIES LLC
June 28, 1991 - January 23, 1992
NATWEST SECURITIES CORPORATION
June 27, 1990 - May 24, 1991
UBS 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
Series 55
Date: 10/23/1998
Limited Representative-Equity Trader ExamCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
