MR
Michael L. Rule
QUINT CAPITAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 1972917
MR
Professional summary
Michael Lawrence Rule is a registered financial advisor currently at QUINT CAPITAL CORPORATION located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lawrence Rule's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Lawrence Rule's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 7, 2018 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave Ste 460, New York, NY 10169RIA
BD
CRD#: 26586
New York, NY
Current
April 27, 2015 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave Ste 460, New York, NY 10169RIA
BD
CRD#: 26586
New York, NY
Past
March 10, 2010 - April 27, 2015
APB FINANCIAL GROUP, LLC
BD
CRD#: 38235
NEW YORK, NY
Past
December 19, 2007 - May 1, 2009
TALLEY & COMPANY
BD
CRD#: 29203
NEWPORT BEACH, CA
Past
March 2, 2001 - December 3, 2007
VISION BROKERAGE SERVICES, LLC
BD
CRD#: 47927
NEW YORK, NY
Past
May 5, 2000 - January 29, 2001
R.M. STARK & CO., INC.
BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past
January 8, 1999 - April 23, 1999
DALTON KENT SECURITIES GROUP, INC.
BD
CRD#: 38813
NEW YORK, NY
Past
May 20, 1998 - December 31, 1998
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
August 23, 1997 - January 29, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
BD
CRD#: 35476
NEW YORK, NY
Past
November 7, 1996 - April 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 25, 1994 - October 30, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 19, 1992 - March 3, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/5/2017)
RR
California(5/21/2015)
RR
Colorado(6/15/2017)
RR
Florida(5/29/2015)
IAR
Florida(9/7/2018)
RR
Georgia(3/13/2023)
RR
Idaho(5/31/2017)
RR
Louisiana(8/11/2017)
RR
Maryland(8/22/2019)
RR
Massachusetts(6/11/2019)
RR
Michigan(12/19/2022)
RR
Mississippi(5/11/2017)
RR
New Hampshire(8/11/2017)
RR
New Jersey(9/29/2021)
RR
New York(4/27/2015)
IAR
New York(3/18/2022)
RR
North Carolina(7/24/2017)
RR
Oklahoma(6/1/2017)
RR
Pennsylvania(3/22/2016)
RR
Rhode Island(4/27/2017)
RR
South Carolina(2/23/2023)
RR
Texas(11/16/2018)
RR
Virginia(5/27/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (8 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 162,105,666 |
Disclosures
| Regulatory 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.
