Mike Bornstein
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.
Mike Bornstein, who also goes by Morris Bornstein, was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 1968. Mike had worked at 6 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1995 - January 2, 2002
EHRENKRANTZ KING NUSSBAUM
October 1, 1985 - March 31, 1995
GRUNTAL & CO., L.L.C.
April 25, 1977 - October 1, 1985
JII SECURITIES INC.
February 26, 1976 - November 29, 1983
CITIGROUP GLOBAL MARKETS INC.
January 2, 1973 - February 26, 1976
HARRIS, UPHAM & CO. INCORPORATED
October 28, 1968 - August 6, 1971
THOMSON MCKINNON SECURITIES 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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/17/1967
Registered Representative ExaminationCurrent Firm
EHRENKRANTZ KING NUSSBAUM
CRD#: 31140 / SEC#: , 8-45397
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JSM CAPITAL HOLDING CORP | SHAREHOLDER | |
| BACARDI, FACUNDO | DIRECTOR | 4407410 |
| BOCCAFOLA, ANDREA LEE | TREASURER, SECRETARY, DIRECTOR | 2331624 |
| FIRST, HAROLD | DIRECTOR | 2118299 |
| KING, JOAN MARY | PRESIDENT, DIRECTOR | 269942 |
| MATTHEWS, JOHN SCOTT | CHAIRMAN | 2082907 |
| NUSSBAUM, IRWIN | C.E.O., DIRECTOR | 349942 |
| TROTTA, FRANCIS MICHAEL | C.F.O., FIN OP., O.P. | 449591 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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