Michael Dean
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 Dean was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - October 15, 2019
RETIREONE INVESTMENT SERVICES, LLC
February 28, 2012 - August 26, 2016
SANDERS MORRIS LLC
September 1, 2009 - November 4, 2011
TICONDEROGA SECURITIES LLC
December 13, 2005 - August 31, 2009
FIRST CLEARING, LLC
April 17, 2000 - December 15, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1997 - March 24, 2000
DB ALEX. BROWN LLC
July 29, 1991 - September 1, 1997
ALEX. BROWN & SONS 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 55
Date: 4/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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