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VM

Victor Michel

Some features on this profile are disabled
CRD#: 2689456
VM

Professional summary

Victor Michel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Victor is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Victor had worked at 7 firms, which includes FINANCIAL WEST GROUP, SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., TORREY PINES SECURITIES INC., STOCKCROSS FINANCIAL SERVICES INC., HILLTOP SECURITIES INC., M.L. STERN & CO. LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Victor No Middle Name Michel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 6, 2014 - February 22, 2016

FINANCIAL WEST GROUP

RIA
CRD#: 16668
MARINA DEL REY, CA
Past

January 6, 2014 - February 22, 2016

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

November 9, 2012 - January 13, 2014

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
MARINA DEL REY, CA
Past

September 11, 2012 - January 13, 2014

SECURITIES AMERICA, INC.

BD
CRD#: 10205
MARINA DEL REY, CA
Past

November 17, 2011 - September 10, 2012

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

June 23, 2011 - November 21, 2011

TORREY PINES SECURITIES, INC.

BD
CRD#: 17120
SANTA MONICA, CA
Past

March 2, 2010 - June 22, 2011

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
BEVERLY HILLS, CA
Past

December 11, 2008 - February 23, 2010

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
BEVERLY HILLS, CA
Past

December 10, 2008 - February 23, 2010

HILLTOP SECURITIES INC.

BD
CRD#: 6220
BEVERLY HILLS, CA
Past

January 27, 2004 - December 31, 2008

M.L. STERN & CO., LLC.

RIA
CRD#: 8327
BEVERLY HILLS, CA
Past

December 12, 1995 - December 31, 2008

M.L. STERN & CO., LLC.

BD
CRD#: 8327
BEVERLY HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/8/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1995
General Securities Representative Examination

Current Firm

FW
FINANCIAL WEST GROUP
FINANCIAL WEST GROUP | TORREYA CAPITAL, A DIVISION OF FINANCIAL WEST GROUP | REEDLAND CAPITAL PARTNERS, AN INSTITUTIONAL DIVISION OF FWG | PACIFIC ASSET GROUP, INC. | GELLER BIOPHARM - A HEALTH CARE INVESTMENT BANKING DIVISION FWG | FINANCIAL WEST INVESTMENT GROUP, INC. DBA FINANCIAL WEST GROUP | FINANCIAL WEST INVESTMENT GROUP, INC.

CRD#: 16668 / SEC#: 801-57393, 8-34448

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
1330 Lander St., Reno, NV 89509
Mailing Address
Phone number
Established
California since 05/22/1985
Firm type
Corporation
Fiscal year end
September
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
PARADOX HOLDING, INC. A NEVADA CORPORATIONSHAREHOLDER
DOYLE, JACOB MICHAELVICE PRESIDENT6014279
HODGES, AL CLIFTONBOARD MEMBER6594701
VALENTINE, GENE CHARLESCHIEF COMPLIANCE OFFICER1079871
VALENTINE, GENE CHARLESCHAIRMAN/CEO/PRESIDENT1079871

Disclosures

Regulatory Event73
Arbitration7

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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Company Information

FINANCIAL WEST GROUP

CRD#: 16668

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