Michael K. 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 Kevin Farkas, who also goes by Michael Kevin Farkas, Mickey Farkas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 9 firms and has passed the Series 63, Series 6, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2008 - November 30, 2012
FORESTERS EQUITY SERVICES, INC.
October 4, 2007 - November 17, 2008
FORESTERS EQUITY SERVICES, INC.
August 17, 2000 - October 16, 2007
BROAD STREET SECURITIES, INC.
April 29, 1998 - August 22, 2000
AMERICAN CAPITAL CORPORATION
March 11, 1991 - July 1, 1991
MARINER FINANCIAL SERVICES, INC.
July 5, 1989 - December 5, 1990
OLIN SECURITIES CORPORATION
May 18, 1987 - May 13, 1989
AMERIPRISE ADVISOR SERVICES, INC.
February 22, 1985 - June 12, 1986
E. F. HUTTON & COMPANY INC
December 19, 1983 - October 15, 1984
U.S. MUTUAL SECURITIES CORP.
August 5, 1969 - April 8, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
PC
Date: 7/16/1987
AMEX Put and Call ExamSeries 1
Date: 7/28/1969
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
