Michael J. Marshall
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 James Marshall 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 7, Series 6 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
August 31, 1998 - September 12, 2000
PRINCETON EQUITY SECURITIES, INC.
August 24, 1995 - March 10, 1998
PRINCETON EQUITY SECURITIES, INC.
September 17, 1992 - June 21, 1995
FFP SECURITIES, INC.
January 3, 1992 - May 4, 1992
SECURITIES AMERICA, INC.
December 10, 1990 - February 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 10, 1990 - February 6, 1992
PRUCO SECURITIES, 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
Current Firm
PRINCETON EQUITY SECURITIES, INC.
CRD#: 15374 / SEC#: , 8-32085
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
