Michael E. Lian
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 Emile Lian, who also goes by Mike Lian, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 14 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 10, 2017 - October 23, 2020
NATIONAL SECURITIES CORPORATION
August 5, 2016 - November 9, 2017
AEGIS CAPITAL CORP.
November 19, 2012 - August 8, 2016
NATIONAL SECURITIES CORPORATION
February 23, 2010 - November 20, 2012
NEWBRIDGE SECURITIES CORPORATION
September 17, 2008 - February 25, 2010
LAIDLAW & COMPANY (UK) LTD.
July 26, 2006 - September 18, 2008
NEWBRIDGE SECURITIES CORPORATION
August 6, 2003 - August 14, 2006
GREAT EASTERN SECURITIES, INC.
April 11, 2003 - August 14, 2003
INDIANAPOLIS SECURITIES, INC.
February 12, 2001 - May 24, 2001
IDS LIFE INSURANCE COMPANY
February 12, 2001 - May 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 1999 - January 17, 2001
DIRECT BROKERAGE, INC.
June 5, 1998 - April 1, 1999
WEATHERLY SECURITIES CORPORATION
February 24, 1997 - June 2, 1998
PRIME CHARTER LTD.
September 25, 1996 - February 25, 1997
WERBEL-ROTH SECURITIES, INC.
February 29, 1996 - September 23, 1996
FIRST METROPOLITAN SECURITIES, INC.
February 28, 1996 - September 23, 1996
FIRST METROPOLITAN SECURITIES, INC.
December 7, 1995 - February 22, 1996
A.S. GOLDMEN & CO., 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
