Michael D. Pron
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 David Pron, who also goes by Michael David Pron, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 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 27, 2021 - December 31, 2023
TD AMERITRADE, INC.
January 29, 2014 - April 19, 2024
CHARLES SCHWAB & CO., INC.
September 22, 1999 - January 13, 2014
VANGUARD MARKETING CORPORATION
March 30, 1998 - September 9, 1999
FSC SECURITIES CORPORATION
August 22, 1994 - March 31, 1998
GUARDIAN INVESTOR SERVICES 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
