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MW

Michael S. Weiner

Some features on this profile are disabled
CRD#: 2214982
MW

Professional summary

Michael Scott Weiner 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 1992. Prior to being barred, Michael had worked at 7 firms, which includes NORTHRIDGE CAPITAL CORPORATION, FIRST PROVIDENCE FINANCIAL GROUP LLC, FOSTER JEFFRIES SECURITIES LLC, MATRIX SECURITIES CORPORATION, JOSEPH ROBERTS & CO. INC., A.J. MICHAELS & CO. LTD., STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 21, 1999 - July 2, 2001

NORTHRIDGE CAPITAL CORPORATION

BD
CRD#: 16467
MELVILLE, NY
Past

September 11, 1998 - December 15, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

January 17, 1996 - July 13, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

May 22, 1995 - January 22, 1996

MATRIX SECURITIES CORPORATION

BD
CRD#: 30991
GARDEN CITY, NY
Past

October 5, 1994 - March 23, 1995

JOSEPH ROBERTS & CO., INC.

BD
CRD#: 15971
POMPANO BEACH, FL
Past

October 5, 1992 - September 27, 1994

A.J. MICHAELS & CO., LTD.

BD
CRD#: 19883
HAUPPAUGE, NY
Past

July 21, 1992 - October 9, 1992

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/8/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1994
General Securities Principal Examination

Current Firm

NC
NORTHRIDGE CAPITAL CORPORATION
CONCOURSE CAPITAL CORPORATION | PRICE FINANCIAL SERVICES/SECURITIES, INC. | PRICE FINANCIAL SERVICES/SECURITIES INCORPORATED | PRICE FINANCIAL SERVICES/SECURITIES | PRICE FINANCIAL SERVICES | NORTHRIDGE CAPITAL CORPORATION | JODOIN, BROWN & CO., INCORPORATED

CRD#: 16467 / SEC#: , 8-36544

BD
Cancelled by SEC on 11/30/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 11/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KEYSTONE CAPITAL CORPORATIONOWNER
ALFONSO, JULIAN LUISFNOP1801087
NEGUS, ANTHONY JOHNSROP, CROP,1060809
PERSHING, LORI JOSECRETARY2200979
WEINER, MICHAEL SCOTTPRESIDENT/COMPLIANCE OFFICER2214982

Disclosures

Regulatory Event9
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

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