Michael J. Delaney
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 James Delaney was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 16 firms and has passed the Series 63, Series 25, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2009 - June 7, 2012
RAVEN SECURITIES CORP.
July 17, 2007 - February 21, 2008
LOMBARDI & CO., INC.
April 25, 2007 - September 11, 2009
TAG SECURITIES CORP.
August 28, 2006 - February 21, 2007
HLA SECURITIES INC
November 28, 2003 - April 30, 2007
G.P. DIRECT CORP.
November 18, 2003 - November 26, 2003
BARTHEL, JEFFREY CHARLES
May 12, 2003 - January 8, 2004
HLA SECURITIES INC
May 5, 2003 - November 24, 2003
MARQUIS HOLDINGS, INC.
September 17, 2002 - May 28, 2003
GORDON, HASKETT CAPITAL CORPORATION
February 22, 2002 - August 26, 2002
LABRANCHE FINANCIAL SERVICES, LLC
February 8, 2002 - September 6, 2002
ARMATO SECURITIES CORP.
January 14, 2002 - March 15, 2002
EMAC SECURITIES CORPORATION
November 14, 2000 - December 20, 2001
NATIONAL SECURITIES CORPORATION
September 29, 1997 - November 13, 2000
SHARPE CAPITAL, INC.
September 11, 1996 - September 29, 1997
ALL-TECH DIRECT, INC.
October 27, 1995 - July 23, 1996
ALL-TECH DIRECT, INC.
April 18, 1994 - September 19, 1994
AMERICORP SECURITIES, INC.
March 28, 1994 - April 8, 1994
BERKELEY SECURITIES CORPORATION
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 25
Date: 7/15/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 6/6/2001
Limited Representative-Equity Trader ExamCurrent Firm
RAVEN SECURITIES CORP.
CRD#: 35201 / SEC#: , 8-40372
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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