Michael E. Mollin
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 Evan Mollin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 55 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
June 18, 2004 - March 30, 2007
SARATOGA CAPITAL MARKETS
August 30, 2002 - January 26, 2004
CARMICHAEL SECURITIES COMPANY L.L.C.
November 7, 2001 - March 24, 2004
J.P.R. CAPITAL CORP.
May 26, 2000 - November 9, 2001
TRAUTMAN WASSERMAN & COMPANY, INC.
October 5, 1998 - May 12, 2000
UBS SECURITIES LLC
July 1, 1998 - September 9, 1998
COWEN AND COMPANY
March 28, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
October 6, 1993 - March 27, 1996
UBS FINANCIAL SERVICES INC.
July 31, 1993 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
March 13, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
November 27, 1990 - March 11, 1992
KIDDER, PEABODY & CO. INCORPORATED
June 21, 1990 - January 4, 1991
LEHMAN BROTHERS INC.
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: 4/4/2002
Limited Representative-Equity Trader ExamCurrent Firm
SARATOGA CAPITAL MARKETS
CRD#: 120888 / SEC#: , 8-65354
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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