Michelle M. Comella
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.
Michelle Marie Comella was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1991. Michelle had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 34, Series 3, Series 7, Series 4, Series 53, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - January 18, 2019
VIVALDI CAPITAL MANAGEMENT LP
January 14, 2016 - December 31, 2018
FORESIDE FUND SERVICES, LLC
November 9, 2012 - January 23, 2015
OPTIONSXPRESS, INC.
November 9, 2012 - January 23, 2015
CHARLES SCHWAB & CO., INC.
September 19, 2008 - April 26, 2012
GOLDMAN SACHS & CO. LLC
September 7, 2007 - September 18, 2008
INTEROCEAN WEALTH MANAGEMENT LLC
September 4, 2007 - September 18, 2008
INTEROCEAN SECURITIES LLC
May 3, 2007 - September 5, 2007
MACQUARIE CAPITAL (USA) INC.
May 15, 2002 - July 3, 2007
GIULIANI CAPITAL ADVISORS LLC
April 24, 2000 - March 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1998 - April 7, 2000
BNY CLEARING SERVICES LLC
February 9, 1996 - September 3, 1998
FIDELITY BROKERAGE SERVICES LLC
August 28, 1991 - January 29, 1996
CHARLES SCHWAB & CO., INC.
March 27, 1991 - June 4, 1991
IDS LIFE INSURANCE COMPANY
March 27, 1991 - June 4, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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 8
Date: 1/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2024 | ||
| 10/24/2023 | ||
| 07/26/2022 |
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.
