Michael J. Anton
Professional summary
Michael James Anton was barred by 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 5 firms, which includes INTERFIRST CAPITAL CORPORATION, RODMAN & RENSHAW INC., H.J. MEYERS & CO. INC., FIRST AFFILIATED SECURITIES, GLOBAL CAPITAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1995 - June 2, 1995
INTERFIRST CAPITAL CORPORATION
March 23, 1994 - November 4, 1994
RODMAN & RENSHAW INC.
December 2, 1993 - March 24, 1994
H.J. MEYERS & CO., INC.
November 12, 1993 - December 2, 1993
FIRST AFFILIATED SECURITIES
June 2, 1993 - November 8, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
April 16, 1993 - December 2, 1993
H.J. MEYERS & CO., INC.
April 13, 1993 - April 17, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
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