Michael A. Sclafani
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 Anthony Sclafani was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1997 - September 30, 1998
COMMONWEALTH ASSOCIATES
August 8, 1996 - January 1, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
June 8, 1995 - August 21, 1996
CORTLANDT CAPITAL CORPORATION
March 6, 1995 - June 7, 1995
JOSEPH ROBERTS & CO., INC.
July 10, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
March 10, 1993 - July 1, 1993
THE WELLINGTON 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
Series 62
Date: 3/5/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
COMMONWEALTH ASSOCIATES
CRD#: 20833 / SEC#: , 8-38505
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 10 |
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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