Michelle R. Ojala
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.
Michelle Ruth Ojala was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1993. Michelle had worked at 12 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
February 4, 2011 - June 26, 2017
HARRISDIRECT LLC
February 4, 2011 - June 26, 2017
E*TRADE SECURITIES LLC
January 2, 2009 - February 1, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 28, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 11, 2005 - February 1, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 9, 2004 - February 22, 2005
IFMG SECURITIES, INC.
June 9, 2004 - February 22, 2005
IFMG SECURITIES, INC.
June 12, 2002 - June 9, 2004
WELLS FARGO INVESTMENTS, LLC
June 12, 2002 - June 9, 2004
WELLS FARGO INVESTMENTS, LLC
October 25, 2001 - June 12, 2002
CAL FED INVESTMENTS
September 11, 1997 - January 22, 2001
CITIGROUP GLOBAL MARKETS INC.
March 20, 1997 - July 30, 1997
NEWPORT COAST SECURITIES, INC.
April 15, 1996 - March 21, 1997
PIPER SANDLER & CO.
November 10, 1994 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 1993 - October 20, 1994
KIDDER, PEABODY & CO. INCORPORATED
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
