Michael Bogart
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 Bogart was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE 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
January 27, 2016 - February 6, 2017
PEOPLE'S SECURITIES, INC.
June 30, 2015 - November 2, 2015
NYLIFE SECURITIES LLC
December 26, 2013 - April 6, 2015
PRINCIPAL SECURITIES, INC.
January 4, 2010 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
October 8, 2002 - January 12, 2010
OPPENHEIMER & CO. INC.
April 29, 2002 - October 17, 2002
RYAN BECK & CO.
December 8, 1995 - May 13, 2002
GRUNTAL & CO., L.L.C.
November 22, 1992 - December 13, 1995
PRUDENTIAL EQUITY GROUP, 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
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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