Michael J. Ahearn
Professional summary
Michael John Ahearn was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Michael had worked at 5 firms, which includes APEX FINANCIAL ADVISORS INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY DW INC., UBS SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2016 - August 8, 2019
APEX FINANCIAL ADVISORS, INC
May 24, 2011 - September 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2011 - September 16, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2004 - May 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 22, 1999 - November 1, 2004
MORGAN STANLEY DW INC.
February 6, 1996 - May 5, 1998
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
APEX FINANCIAL ADVISORS, INC
CRD#: 155210 / SEC#: 801-71884
Contact information
Regulatory assets under management
| Total Number of Accounts | 410 |
| AUM (Assets Under Management) | $ 505,099,472 |
Red Flags
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