Michael A. Rainer
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 Allan Rainer was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 55, Series 7, 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
March 17, 2015 - December 9, 2015
NATIONAL SECURITIES CORPORATION
November 14, 2008 - March 20, 2015
J.P. TURNER & COMPANY, L.L.C.
January 7, 2005 - January 10, 2008
J.P. TURNER & COMPANY, L.L.C.
October 21, 2003 - November 1, 2004
STOCKS 4 LESS, INC.
June 13, 2001 - October 21, 2003
NATIONAL CLEARING CORP.
February 9, 1996 - June 21, 2001
BULL & BEAR SECURITIES, INC.
January 13, 1995 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
January 13, 1995 - October 17, 1995
LADENBURG CAPITAL MANAGEMENT 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: 6/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
