Michael S. Horaney
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 Shibley Horaney, who also goes by Michael S Horaney, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2009 - January 8, 2010
INSIGHT SECURITIES, INC.
August 23, 2006 - June 4, 2008
WEDBUSH SECURITIES INC.
March 29, 2005 - July 5, 2006
J.P. MORGAN SECURITIES LLC
January 3, 2003 - March 31, 2005
OPPENHEIMER & CO. INC.
November 19, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
October 21, 1998 - November 29, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 23, 1996 - October 22, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1994 - March 5, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - January 25, 1994
CITIGROUP GLOBAL MARKETS INC.
February 24, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
January 4, 1991 - February 25, 1992
CITIGROUP GLOBAL MARKETS INC.
October 25, 1989 - March 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
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
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
Contact information
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
