Michael A. Chakos
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 Andrew Chakos was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2015 - May 29, 2020
WORDEN CAPITAL MANAGEMENT LLC
February 22, 2012 - December 3, 2015
WILMINGTON CAPITAL SECURITIES, LLC
March 16, 2001 - February 23, 2012
LADENBURG THALMANN & CO. INC.
November 26, 1993 - November 19, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 18, 1993 - November 24, 1993
H G I
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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