Michael A. Carbaugh
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 Andrew Rutherford Carbaugh, who also goes by Michael Andrew Carbaugh, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 12 firms and has passed the Series 65, Series 63, Series 7 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
July 8, 2013 - December 31, 2017
PALUSTRIS INVESTMENT SERVICES LLC
September 23, 2002 - January 2, 2004
HORNOR, TOWNSEND & KENT, LLC
June 13, 2001 - January 2, 2004
HORNOR, TOWNSEND & KENT, LLC
May 25, 2000 - December 19, 2000
IDS LIFE INSURANCE COMPANY
May 25, 2000 - December 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
January 23, 1997 - March 5, 1999
LPL FINANCIAL LLC
February 8, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
January 16, 1995 - February 9, 1996
FIRST MONTAUK SECURITIES CORP.
July 19, 1994 - January 17, 1995
JANNEY MONTGOMERY SCOTT LLC
May 26, 1993 - July 6, 1994
GRUNTAL & CO., L.L.C.
September 15, 1992 - May 24, 1993
LEGG MASON WOOD WALKER, INCORPORATED
May 4, 1992 - July 2, 1992
PRUDENTIAL EQUITY GROUP, LLC
February 17, 1992 - March 31, 1992
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
PALUSTRIS INVESTMENT SERVICES LLC
CRD#: 167987 / SEC#:
Contact information
Red Flags
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