Michelle S. Fisher
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 Susan Fisher was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1995. Michelle had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 27, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2020 - April 30, 2024
D.E. SHAW SECURITIES, L.L.C.
November 4, 2014 - March 3, 2017
BRIGHTON SECURITIES CORP.
April 9, 2001 - April 26, 2002
ASCENSUS BROKER DEALER SERVICES, LLC
June 7, 1999 - December 31, 2000
FURTHER LANE SECURITIES, L.P.
March 5, 1999 - April 16, 1999
LPL FINANCIAL LLC
July 3, 1997 - February 4, 1999
FURTHER LANE SECURITIES, L.P.
May 30, 1995 - August 19, 1996
NEBRASKA HUDSON COMPANY, 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
Current Firm
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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