Michael J. Halek
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 James Halek was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2006 - January 2, 2013
FELTL & COMPANY
April 12, 2001 - December 31, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
February 20, 1998 - April 11, 2001
PETERSON BROTHERS SECURITIES COMPANY
April 3, 1995 - February 23, 1998
COLLIERS SECURITIES LLC
September 1, 1994 - April 3, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
February 2, 1977 - July 19, 1993
CRAIG-HALLUM, INC.
May 1, 1973 - February 28, 1977
MARGOLIS & CO., INC.
December 9, 1970 - April 23, 1973
J SHAPIRO COMPANY
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
Series 1
Date: 8/21/1968
Registered Representative ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| 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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