Michael M. Calise
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 M Calise, who also goes by Michael Marc Calise, Michael Calise, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
October 28, 2008 - July 27, 2016
SCOTTRADE, INC.
August 16, 2007 - October 28, 2008
TD AMERITRADE, INC.
August 16, 2007 - October 28, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 16, 2007 - October 28, 2008
TD AMERITRADE, INC.
March 13, 2007 - August 9, 2007
HSBC SECURITIES (USA) INC.
March 13, 2007 - August 9, 2007
HSBC SECURITIES (USA) INC.
March 21, 2006 - March 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2006 - March 12, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2002 - January 10, 2006
CHASE INVESTMENT SERVICES CORP.
May 24, 1994 - January 27, 2000
SCOTTRADE, INC.
February 26, 1993 - December 9, 1993
TD AMERITRADE, INC.
February 12, 1992 - July 9, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 6, 1991 - December 31, 1991
TAMARON INVESTMENTS, INC.
December 6, 1991 - February 7, 1992
ROYCE INVESTMENT GROUP, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
