Michael S. Feldman
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 S Feldman was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 7 firms and has passed the Series 63, SIE 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
July 23, 2013 - December 31, 2017
THE LEADERS GROUP, INC.
January 3, 2013 - May 10, 2013
PRUCO SECURITIES, LLC.
February 8, 1999 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
July 20, 1998 - January 19, 1999
GATEWAY INVESTMENT SERVICES, INC.
January 28, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 28, 1997 - June 23, 1998
SIGNATOR INVESTORS, INC.
October 21, 1996 - January 28, 1997
MML INVESTORS SERVICES, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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