Michael Zaharakis
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 Zaharakis, who also goes by Mike Zaharakis, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 13 firms and has passed the Series 63, Series 55, 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 29, 2008 - November 21, 2012
BMO CAPITAL MARKETS CORP.
February 8, 2008 - June 26, 2008
JESUP & LAMONT SECURITIES CORP
February 8, 2008 - June 26, 2008
EMPIRE FINANCIAL GROUP, INC.
October 3, 2007 - December 11, 2007
SRT SECURITIES LLC
May 29, 2007 - October 8, 2007
CITIGROUP GLOBAL MARKETS INC.
May 10, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 16, 2005 - July 20, 2005
THE VERTICAL GROUP
February 1, 2005 - May 5, 2005
PUGLISI & CO.
November 17, 2003 - January 3, 2005
BROKERAGEAMERICA, LLC
October 9, 2003 - January 13, 2004
ESSEX & YORK, INC.
December 13, 2001 - January 30, 2002
MORGAN STANLEY DW INC.
March 17, 1995 - June 11, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 1, 1994 - March 8, 1995
SCHRODER & CO. INC.
February 15, 1994 - August 8, 1994
CITIGROUP GLOBAL MARKETS 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 55
Date: 3/31/2000
Limited Representative-Equity Trader ExamCurrent Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 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.
