Michele S. Mateuszczyk
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.
Michele Stacey Mateuszczyk, who also goes by Michele Stacey Bligh, Michele Stacey Kanhor, Michele Stacey Kantor, Michele S Mateuszczyk, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1997. Michele had worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, 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
July 16, 2021 - February 5, 2026
NAVIAN CAPITAL SECURITIES LLC
September 3, 2015 - July 8, 2021
INDEPENDENT FINANCIAL GROUP, LLC
November 22, 2010 - September 10, 2015
NEWBRIDGE SECURITIES CORPORATION
July 14, 2010 - August 27, 2010
NEWBRIDGE SECURITIES CORPORATION
November 25, 2003 - July 19, 2010
CHICAGO INVESTMENT GROUP, LLC
January 2, 2002 - August 8, 2002
LADENBURG CAPITAL MANAGEMENT INC.
February 14, 2000 - January 2, 2002
LADENBURG THALMANN & CO. INC.
September 29, 1999 - January 24, 2000
ROBERTSON STEPHENS, INC.
October 5, 1998 - July 2, 1999
TRADE.COM ONLINE SECURITIES, INC.
May 16, 1997 - September 8, 1998
LADENBURG THALMANN & CO. INC.
March 26, 1997 - April 17, 1997
ADVEST, 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
Series 79TO
Date: 2/8/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NAVIAN CAPITAL SECURITIES LLC
CRD#: 145037 / SEC#: , 8-67695
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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