Michael J. Wachel
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 John Wachel, who also goes by Mike Wachel, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
August 14, 2015 - June 23, 2016
ACE DIVERSIFIED CAPITAL, INC.
April 11, 2014 - June 30, 2014
WTS PROPRIETARY TRADING GROUP LLC
December 14, 2011 - July 30, 2012
PRINCIPAL SECURITIES, INC.
August 12, 2011 - December 6, 2011
WTS PROPRIETARY TRADING GROUP LLC
June 23, 2009 - August 26, 2009
CENTAURUS FINANCIAL, INC.
August 15, 2008 - January 30, 2009
NATIONAL PLANNING CORPORATION
May 18, 2001 - October 3, 2001
PROTRADER SECURITIES L.P.
December 10, 1999 - May 9, 2001
GLOBALINK SECURITIES, INC.
January 19, 1999 - June 10, 1999
NATIONAL CLEARING CORP.
June 19, 1998 - December 14, 1998
STOCKS 4 LESS, INC.
June 5, 1998 - December 14, 1998
NATIONAL CLEARING CORP.
November 1, 1996 - April 23, 1997
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 15, 1995 - May 19, 1995
MORGAN STANLEY DW INC.
December 22, 1994 - February 17, 1995
CITIGROUP GLOBAL MARKETS 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
Current Firm
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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