Michael J. Abbott
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 James Abbott, who also goes by Michael Abbott, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2015 - March 14, 2018
YOSEMITE EXECUTION PARTNERS INC.
October 12, 2012 - August 13, 2013
KELSON CAPITAL LLC
February 22, 2007 - June 17, 2010
BOSTON PARTNERS SECURITIES, L.L.C.
May 3, 2006 - December 6, 2006
INTER SECURITIES LTD.
December 17, 1996 - August 6, 2002
GOLDMAN SACHS & CO. 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
YOSEMITE EXECUTION PARTNERS INC.
CRD#: 165587 / SEC#: , 8-69173
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
