Michael D. Tannen
Professional summary
Michael David Tannen was barred by both the FINRA and the SEC 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 1993. Prior to being barred, Michael had worked at 8 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, GLOBAL ARENA CAPITAL CORP, HFP CAPITAL MARKETS LLC, MAXIM GROUP LLC, EASTBROOK CAPITAL GROUP LLC, NORTHEAST SECURITIES LLC, NICHOLS SAFINA LERNER & CO. INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - June 16, 2015
ROCKWELL GLOBAL CAPITAL LLC
October 31, 2013 - June 5, 2015
GLOBAL ARENA CAPITAL CORP
October 23, 2009 - October 18, 2013
HFP CAPITAL MARKETS LLC
September 26, 2008 - November 9, 2009
MAXIM GROUP LLC
September 16, 1999 - October 11, 2008
EASTBROOK CAPITAL GROUP LLC
February 6, 1998 - September 2, 1999
NORTHEAST SECURITIES, LLC
January 23, 1998 - February 3, 1998
NORTHEAST SECURITIES, LLC
March 17, 1994 - March 27, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
December 15, 1993 - March 24, 1994
NORTHEAST SECURITIES, LLC
March 2, 1993 - December 16, 1993
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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