Michael C. Rypl
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 Christopher Rypl, who also goes by Mike Rypl, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1992. Michael had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 79 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 5, 2023 - January 9, 2025
DAWSON JAMES SECURITIES, INC.
January 6, 2017 - September 1, 2023
LADENBURG THALMANN & CO. INC.
December 9, 2015 - January 20, 2016
T3 TRADING GROUP, LLC
September 3, 2014 - September 16, 2015
OPPENHEIMER & CO. INC.
June 5, 2012 - September 16, 2014
MAXIM GROUP LLC
April 21, 2009 - June 4, 2012
NOBLE CAPITAL MARKETS, INC.
August 13, 2002 - June 3, 2008
POLARIS INVESTMENT PARTNERS, INC
September 18, 2001 - April 16, 2002
MIDTOWN PARTNERS
August 5, 1998 - August 17, 2000
RAYMOND JAMES & ASSOCIATES, INC.
October 21, 1996 - July 28, 1998
A. G. EDWARDS & SONS, INC.
May 10, 1995 - May 10, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1995 - October 17, 1996
FSC SECURITIES CORPORATION
July 31, 1993 - May 5, 1995
CITIGROUP GLOBAL MARKETS INC.
May 22, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
March 26, 1992 - May 12, 1992
J.P. MORGAN SECURITIES LLC
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
