Michael W. Southern
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 Wayne Southern, who also goes by Mike Southern, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
April 20, 2009 - March 29, 2017
SOUTHERN ADVISORS & ASSOCIATES INC.
March 25, 2009 - April 17, 2009
MADISON AVENUE SECURITIES, LLC
January 5, 2009 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
January 2, 2009 - December 31, 2009
MADISON AVENUE SECURITIES, LLC
August 28, 2007 - December 31, 2008
INVEST FINANCIAL CORPORATION
November 8, 2006 - December 31, 2008
INVEST FINANCIAL CORPORATION
July 15, 1999 - November 13, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 14, 1995 - April 16, 1999
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
SOUTHERN ADVISORS & ASSOCIATES INC.
CRD#: 149803 / SEC#:
Contact information
Red Flags
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