Michael J. Masur
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 John Masur, who also goes by Michael J Masur, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2009 - August 19, 2015
TD AMERITRADE, INC.
September 4, 2009 - August 19, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 2, 2009 - August 19, 2015
TD AMERITRADE, INC.
October 29, 1998 - September 24, 2001
ALLSTATE FINANCIAL SERVICES, LLC
January 15, 1996 - October 29, 1998
AFD, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
