Michael J. Ferber
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 Joseph Ferber was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2018 - December 31, 2020
AEON CAPITAL INC
July 28, 2015 - May 2, 2018
WILMINGTON CAPITAL SECURITIES, LLC
April 10, 2013 - August 7, 2015
FOREFRONT CAPITAL MARKETS LLC
July 23, 2012 - April 11, 2013
GAR WOOD SECURITIES, LLC
March 1, 2011 - July 23, 2012
BROKERSXPRESS LLC
August 3, 2007 - March 1, 2011
INVESTORS CAPITAL CORP.
April 19, 1978 - August 2, 2007
RYAN BECK & CO.
January 3, 1978 - March 24, 1978
HAAS SECURITIES CORPORATION
September 30, 1975 - August 22, 1977
LAZARD FRERES & CO. LLC
November 27, 1973 - October 10, 1975
BOETTCHER & COMPANY, INC.
July 25, 1973 - September 8, 1973
BRUNS NORDEMAN & COMPANY
November 5, 1970 - June 18, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 7TO
Date: 12/8/2022
General Securities Representative ExaminationPC
Date: 5/6/1977
AMEX Put and Call ExamSeries 1
Date: 7/3/1961
Registered Representative ExaminationCurrent Firm
AEON CAPITAL INC
CRD#: 164004 / SEC#: , 8-69080
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEON CAPITAL MARKETS, LLC | OWNER | |
| MALLIOS, DEMETRIOS | OWNER - CCO | 3169758 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
