Michael E. Mentuck
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 Edward Mentuck, who also goes by Michael Edward Mentuck, Mike E Mentuck, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 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
December 11, 2025 - February 18, 2026
J. ALDEN ASSOCIATES, INC.
June 14, 2022 - January 8, 2024
FORESIDE FUND SERVICES, LLC
January 4, 2018 - May 26, 2022
VIGILANT DISTRIBUTORS, LLC
May 5, 2016 - January 2, 2018
FUSION ANALYTICS SECURITIES LLC
August 20, 2014 - April 27, 2016
FIRST DOMINION CAPITAL CORP.
January 25, 2012 - October 11, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
April 23, 2010 - May 10, 2010
HENNION & WALSH, INC.
November 21, 2008 - January 26, 2010
MSI FINANCIAL SERVICES, INC.
January 27, 2003 - December 31, 2007
NATCITY INVESTMENTS, INC.
March 28, 2002 - June 6, 2002
AMERIMUTUAL FUNDS DISTRIBUTOR, INC.
March 27, 2002 - March 28, 2002
ORBITEX FUNDS DISTRIBUTOR, INC.
May 5, 2000 - January 4, 2002
ORBITEX FUNDS DISTRIBUTOR, INC.
June 29, 1998 - May 11, 2000
FUNDS DISTRIBUTOR, LLC
April 17, 1997 - September 11, 1997
F1 TRADING.COM, INC.
February 7, 1995 - July 17, 1996
GUARDIAN INVESTOR SERVICES LLC
August 27, 1991 - July 12, 1993
NEUBERGER BERMAN MANAGEMENT LLC
May 29, 1991 - June 13, 1991
BNY MELLON SECURITIES CORPORATION
August 15, 1989 - February 28, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 15, 1989 - February 28, 1990
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
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
