Michael J. Hosey
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 Joseph Hosey SR, who also goes by Michael Joseph Hosey, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1968. Michael had worked at 15 firms and has passed the Series 63, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2008 - February 29, 2012
ARQUE CAPITAL, LTD.
October 18, 2005 - December 4, 2008
FOX & COMPANY INVESTMENTS INC.
May 15, 2002 - May 17, 2005
FOX & COMPANY INVESTMENTS INC.
February 11, 2000 - April 30, 2002
W.A. CAPITAL MARKETS
January 14, 1999 - October 30, 2000
DIRKS & COMPANY, INC.
June 3, 1997 - November 18, 1998
J. ROBBINS SECURITIES, L.L.C
August 4, 1995 - May 9, 1997
COLEMAN & COMPANY SECURITIES, INC.
June 21, 1994 - May 23, 1995
FAB SECURITIES OF AMERICA, INC.
July 30, 1991 - May 12, 1994
DICKINSON & CO.
February 2, 1987 - July 29, 1991
A. T. BROD & CO. INC.
August 27, 1985 - February 3, 1987
ROONEY, PACE INC.
November 14, 1983 - August 30, 1985
E. F. HUTTON & COMPANY INC
May 28, 1975 - February 3, 1978
WEDBUSH SECURITIES INC.
May 21, 1974 - June 30, 1975
QUINN & CO., INC.
August 5, 1970 - June 15, 1974
ROBERTS, SCOTT & CO., INC.
March 11, 1968 - November 30, 1983
PRUDENTIAL EQUITY GROUP, 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
PC
Date: 4/19/1990
AMEX Put and Call ExamSeries 000
Date: 3/11/1968
General Securities Principal ExaminationSeries 1
Date: 10/20/1965
Registered Representative ExaminationCurrent Firm
ARQUE CAPITAL, LTD.
CRD#: 121192 / SEC#: 801-70283, 8-65390
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARQUE ORION WINTER SKIES, LTD. | PARENT COMPANY | |
| KUWABARA, AUDREY MARI | PRESIDENT & CEO (INTERIM) | 5007219 |
| KUWABARA, AUDREY MARI | CHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER | 5007219 |
| NING, MICHAEL CHENG | PRESIDENT & CEO | 1229733 |
| ROACH, ROBERT GARFIELD JR | FINOP | 2731222 |
| SCANLON, TIMOTHY JOSEPH | DIRECTOR - PRIVATE CLIENT DIVISION | 1968597 |
| SULLIVAN, JAMES CHESTER | OPTIONS PRINCIPAL | 804918 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 6,000,000 |
Disclosures
| Regulatory Event | 5 |
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.
