Michael Orr
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 Orr, who also goes by A B Orr, Michael Alexander Orr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 6 firms and has passed the Series 63, SIE 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
June 21, 2012 - January 18, 2017
NYPPEX, LLC
August 20, 2010 - December 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2007 - July 7, 2009
WELLS FARGO SECURITIES, LLC
July 7, 2006 - June 5, 2007
HSBC SECURITIES (USA) INC.
August 8, 1997 - August 24, 2001
J.P. MORGAN SECURITIES INC.
July 2, 1996 - January 7, 1997
J.P. MORGAN SECURITIES INC.
September 13, 1994 - October 3, 1995
SANDLER, O'NEILL & PARTNERS, L.P.
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
NYPPEX, LLC
CRD#: 47654 / SEC#: , 8-51849
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 4 |
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.
