Michael A. Rooms
Professional summary
Michael Antoine Rooms was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Michael had worked at 6 firms, which includes CALDWELL INTERNATIONAL SECURITIES, PATTERSON TRAVIS INC., UBS FINANCIAL SERVICES INC., H.J. MEYERS & CO. INC., WESTFIELD FINANCIAL CORPORATION, HIBBARD BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2003 - August 3, 2004
CALDWELL INTERNATIONAL SECURITIES
June 20, 2002 - March 5, 2003
PATTERSON TRAVIS, INC.
August 21, 2000 - May 23, 2002
UBS FINANCIAL SERVICES INC.
January 19, 1995 - August 21, 2000
PATTERSON TRAVIS, INC.
August 19, 1994 - February 1, 1995
H.J. MEYERS & CO., INC.
August 5, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
November 29, 1991 - September 15, 1994
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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