Michael G. Lally
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 Gerard Lally, who also goes by Mike Lally, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 9 firms and has passed the Series 63, SIE, 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
November 17, 2015 - April 2, 2019
AX TRADING, LLC
May 17, 2013 - July 16, 2015
MIZUHO SECURITIES USA LLC
May 15, 2012 - May 16, 2013
C. L. KING & ASSOCIATES, INC.
August 22, 2006 - April 16, 2012
MORGAN KEEGAN & COMPANY, LLC
March 29, 2004 - August 15, 2006
EKN FINANCIAL SERVICES INC.
May 21, 2002 - January 21, 2004
EKN FINANCIAL SERVICES INC.
August 15, 2001 - May 15, 2002
BURLINGTON CAPITAL MARKETS INC.
May 1, 2001 - May 4, 2001
J.P. MORGAN SECURITIES INC.
October 14, 1993 - May 1, 2001
JPMSI
August 24, 1992 - October 25, 1993
PRUDENTIAL EQUITY GROUP, 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
Exams
Series 55
Date: 11/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
AX TRADING, LLC
CRD#: 154702 / SEC#: , 8-68667
Contact information
Documents
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.
