Michael E. Egan
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 Edward Egan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 63, Series 65 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
September 3, 2002 - December 31, 2005
WATERSTONE FINANCIAL GROUP, INC.
June 3, 2002 - August 5, 2002
WATERSTONE FINANCIAL GROUP, INC.
December 3, 1999 - July 10, 2001
UBS FINANCIAL SERVICES INC.
March 6, 1998 - December 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1995 - March 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1994 - August 25, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
October 18, 1993 - September 1, 1994
HAMILTON INVESTMENTS, 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
WATERSTONE FINANCIAL GROUP, INC.
CRD#: 10078 / SEC#: , 8-44243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | OWNER | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | CFO/FINOP | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
