Michelle D. Farmer
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.
Michelle Duke Farmer was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1992. Michelle had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 1992 - March 28, 2022
LAMON & STERN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/29/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LAMON & STERN, INC.
CRD#: 10839 / SEC#: , 8-28694
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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