Michael L. Driscoll
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 Laurence Driscoll, who also goes by Michael Laurence Driscoll, Mike Driscoll, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2006 - July 27, 2012
TD AMERITRADE, INC.
January 2, 2002 - March 9, 2006
TD AMERITRADE CLEARING, INC.
October 21, 1999 - December 31, 2001
J.P. SECURITIES, INC.
January 19, 1999 - October 5, 1999
1ST GLOBAL CAPITAL CORP.
July 21, 1998 - April 8, 1999
PFS INVESTMENTS INC.
October 5, 1992 - July 28, 1995
PFS INVESTMENTS 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
