Michael J. Cleary
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 John Cleary, who also goes by Michael J P Cleary, Michael John Paul Cleary, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - December 7, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 26, 2005 - November 28, 2011
ASSOCIATED FINANCIAL SERVICES, INC.
August 10, 2004 - April 26, 2005
NATIONAL PLANNING CORPORATION
January 1, 2004 - January 22, 2004
VOYA FINANCIAL ADVISORS, INC.
May 17, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
December 13, 2001 - May 14, 2002
LIFEMARK SECURITIES CORP.
March 1, 1996 - December 23, 1999
MML INVESTORS SERVICES, LLC
July 19, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
September 27, 1993 - July 17, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 27, 1993 - July 17, 1995
SIGNATOR INVESTORS, INC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
