Michael B. Ajzenman
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 B Ajzenman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 5 firms and has passed the Series 63, Series 55, 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
January 4, 1999 - December 5, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
April 23, 1998 - July 16, 1998
COLIN WINTHROP & CO., INC.
November 19, 1997 - April 29, 1998
DUKE & CO., INC.
September 19, 1994 - November 17, 1997
MAIDSTONE FINANCIAL, INC.
July 19, 1990 - September 27, 1994
BROOKLYN CAPITAL & SECURITIES TRADING, 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: 8/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
MONTROSE CAPITAL MANAGEMENT LTD.
CRD#: 40799 / SEC#: , 8-49195
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACARUSCO, DAVID | DIRECTOR | |
| SCOTTI, JOSEPH M | DIRECTOR | 2845621 |
| BUCHANAN, VINCENT ANTHONY | CHIEF FINANCIAL OFFICER | 34247 |
| DANTES, EDMOND LOUIS | OPERATIONS MANAGER | 702381 |
| DRUCKS, NEIL | SHAREHOLDER | 4103340 |
| JACOBSON, ALLEN FRANK | SHAREHOLDER | 2299692 |
| MITAROTONDO, DOMINICK | HEAD TRADER | 1218598 |
| ROSNER,, STEVEN | SHAREHOLDER | 4100927 |
| SUTTON, DAVID H | SHAREHOLDER | 4099204 |
| TELFER, JOHN DAVID | SENIOR REGISTERED OPTIONS PRINCIPLE | 1099745 |
| TELFER, JOHN DAVID | CHIEF COMPLIANCE OFFICER | 1099745 |
| TELFER, JOHN DAVID | CHIEF OPERATIONS OFFICER | 1099745 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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