Michael D. Farkas
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 David Farkas, who also goes by Michael D Farkas, Michael David Frankas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 8 firms and has passed the Series 65, Series 63, 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
July 19, 1994 - December 5, 1994
JOSEPH ROBERTS & CO., INC.
May 2, 1994 - June 20, 1994
A. T. BROD & CO. INC.
March 3, 1994 - April 1, 1994
CHURCHILL SECURITIES, INC.
May 13, 1993 - October 6, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 3, 1992 - May 13, 1993
GKN SECURITIES CORP.
September 21, 1992 - December 5, 1992
BISHOP, ROSEN & CO., INC.
February 5, 1992 - July 24, 1992
UBS FINANCIAL SERVICES INC.
November 6, 1991 - November 26, 1991
GRUNTAL & CO., L.L.C.
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
JOSEPH ROBERTS & CO., INC.
CRD#: 15971 / SEC#: , 8-33022
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
