Michael S. Hargis
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 Shea Hargis was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 9 firms and has passed the Series 18, PC, Series 000 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
August 22, 1991 - March 9, 1993
AIMCO SECURITIES COMPANY, INC.
April 8, 1991 - August 20, 1991
GUSTAFSON FINANCIAL, INC.
April 16, 1990 - February 22, 1991
EQUITY PROGRAMS CORPORATION
May 31, 1989 - January 1, 1990
THOMAS GREEN SECURITIES, INC.
December 1, 1982 - April 11, 1989
LEHMAN BROTHERS INC.
June 14, 1979 - August 17, 1980
MORGAN STANLEY DW INC.
July 12, 1978 - April 10, 1979
PRUDENTIAL EQUITY GROUP, LLC
July 18, 1973 - May 2, 1974
CLARK, DODGE & CO., INCORPORATED
February 8, 1972 - September 2, 1973
DEAN WITTER & 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
Series 18
Date: 6/29/1978
Securities Industry Rules and Regulations ExaminationPC
Date: 7/1/1977
AMEX Put and Call ExamSeries 000
Date: 2/1/1972
General Securities Principal ExaminationSeries 1
Date: 1/27/1972
Registered Representative ExaminationCurrent Firm
AIMCO SECURITIES COMPANY, INC.
CRD#: 20185 / SEC#: , 8-38365
Contact information
Documents
Red Flags
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