Michael R. Floyd
Professional summary
Michael Ray Floyd was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Michael had worked at 15 firms, which includes NATIONAL SECURITIES CORPORATION, PUGET SOUND SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED, WEDBUSH SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LOEB PARTNERS, HORNBLOWER WEEKS NOYES & TRASK INCORPORATED, HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INC., GOODBODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1992 - October 23, 1996
NATIONAL SECURITIES CORPORATION
July 25, 1991 - April 27, 1992
PUGET SOUND SECURITIES, INC.
September 4, 1990 - July 23, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 9, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 27, 1988 - December 19, 1989
WEDBUSH SECURITIES INC.
August 15, 1986 - November 2, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
June 11, 1984 - August 20, 1986
UBS FINANCIAL SERVICES INC.
August 11, 1980 - June 20, 1984
LEHMAN BROTHERS INC.
August 1, 1979 - August 8, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1979 - July 25, 1979
LEHMAN BROTHERS INC.
January 18, 1978 - August 17, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
January 14, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
November 2, 1973 - January 30, 1976
E. F. HUTTON & COMPANY INC
April 6, 1971 - November 10, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 23, 1970 - April 4, 1971
GOODBODY & CO. 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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 6/8/1970
Registered Representative ExaminationSeries 40
Date: 8/9/1976
Registered Principal ExaminationSeries 12
Date: 4/1/1976
NYSE Branch Manager ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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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