Michael B. Weiss
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 Brian Weiss was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 9 firms and has passed the Series 63, 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 1, 2012 - June 5, 2013
HEIGHT CAPITAL MARKETS
June 30, 2011 - January 27, 2012
TICONDEROGA SECURITIES LLC
October 13, 2009 - October 14, 2011
SOLEIL SECURITIES CORPORATION
March 9, 2004 - February 23, 2009
B. RILEY SECURITIES, INC.
October 1, 1999 - April 11, 2003
DEUTSCHE BANK SECURITIES INC.
August 9, 1994 - August 28, 1999
CREDIT SUISSE SECURITIES (USA) LLC
March 16, 1994 - July 6, 1994
INTERFIRST CAPITAL CORPORATION
September 16, 1992 - March 4, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1990 - October 2, 1990
J. W. GANT & ASSOCIATES, 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: 10/28/2009
Limited Representative-Equity Trader ExamCurrent Firm
HEIGHT CAPITAL MARKETS
CRD#: 150659 / SEC#: , 8-68277
Contact information
FINRA licenses (26 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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