Michael S. Dolan
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 Sean Dolan, who also goes by Mike Sean Dolan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 10 firms and has passed the Series 63, 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
June 26, 2013 - November 21, 2014
AXIOM CAPITAL MANAGEMENT, INC.
September 4, 2012 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
February 14, 2011 - May 31, 2012
NEWEDGE USA, LLC
June 1, 2006 - August 27, 2010
INSTINET, LLC
August 1, 2000 - June 1, 2006
INSTINET, LLC
May 24, 2000 - August 1, 2000
REUTERS C CORPORATION
November 16, 1999 - March 28, 2000
SANFORD C. BERNSTEIN & CO., INC.
April 8, 1997 - October 22, 1999
GOLDMAN SACHS & CO. LLC
February 11, 1997 - March 20, 1997
CBIS FINANCIAL SERVICES, INC.
April 11, 1994 - February 28, 1996
NEUBERGER BERMAN MANAGEMENT LLC
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
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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