Michael L. Snadowsky
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 Lawrence Snadowsky, who also goes by Michael Lawrence Swadowsky, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 7 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
March 6, 2007 - May 7, 2013
U.S. BROKERAGE, INC.
December 9, 2004 - December 5, 2005
1ST DISCOUNT BROKERAGE, INC.
June 3, 2002 - December 17, 2002
THE WINDMILL GROUP, INC.
January 20, 1999 - June 5, 2000
INVESTOR'S ADVOCATE, LLC
March 19, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 19, 1997 - March 5, 1999
SIGNATOR INVESTORS, INC.
May 5, 1995 - December 22, 1995
IDS LIFE INSURANCE COMPANY
May 5, 1995 - December 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 1994 - June 7, 1994
CHATFIELD DEAN & CO., 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
U.S. BROKERAGE, INC.
CRD#: 39307 / SEC#: , 8-48635
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
