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MT

Michael S. Tator

Some features on this profile are disabled
CRD#: 2530858
MT

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 Saul Tator was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 31 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 27, 2006 - January 18, 2018

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

January 27, 2005 - May 3, 2006

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

June 27, 1995 - March 2, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 26, 1994 - November 11, 1994

LAZAR FREDERICK & COMPANY

BD
CRD#: 15615
BEVERLY HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/12/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 7/10/1995
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/2008
General Securities Principal Examination

Current Firm

VI
VFINANCE INVESTMENTS, INC
FIRST LEVEL CAPITAL, INC. | VFINANCE INVESTMENTS, INC | NEW WAVE SECURITIES, INC.

CRD#: 44962 / SEC#: , 8-50898

BD
Terminated by SEC on 05/11/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/14/1998
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VFINANCE INVESTMENTS HOLDINGSSHAREHOLDER
GROENEVELD, WILLIAM LAWRENCEHEAD TRADER, PRESIDENT, CEO2127534
GROENEVELD, WILLIAM LAWRENCEDIRECTOR2127534
JOHNSON, KAY ALISONCCO1583193
KNOPF, FRED NGENERAL COUNSEL6390806
MULLEN, MICHAEL ANTHONYDIRECTOR1428116
WATSON, NATALIA TOVARFINOP/CFO4782735

Disclosures

Regulatory Event27
Arbitration6

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.

Company Information

VFINANCE INVESTMENTS, INC

CRD#: 44962

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