Michael A. Dooling
Professional summary
Michael A Dooling is a registered financial professional currently at APW CAPITAL, INC. located in Huntington, Vermont.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael A Dooling's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2006 - Present
APW CAPITAL, INC.
February 29, 1996 - October 4, 2006
NEW ENGLAND SECURITIES
August 6, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 6, 1990 - January 23, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2006)
(9/15/2025)
(10/3/2006)
(9/16/2025)
(3/14/2007)
(10/5/2021)
(11/18/2025)
(10/3/2006)
(9/15/2025)
(5/20/2013)
(10/19/2006)
Exams
FINRA
Current Firm
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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