Michael J. Weston
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 John Weston, who also goes by Michael J Weston, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 4 firms and has passed the Series 63, Series 7, Series 55 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2011 - December 10, 2012
CHARLES RIVER BROKERAGE, LLC
February 27, 2004 - January 5, 2005
AGC PARTNERS
April 22, 1991 - April 17, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 22, 1991 - April 17, 1996
SIGNATOR INVESTORS, INC.
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: 5/19/2004
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES RIVER BROKERAGE, LLC
CRD#: 132267 / SEC#: , 8-66578
Contact information
FINRA licenses (18 States and Territories)
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.
