Michael W. Bozora
Professional summary
Michael William Bozora was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1973. Prior to being barred, Michael had worked at 13 firms, which includes CAPITAL SOLUTIONS DISTRIBUTORS LLC, CAPITAL SOLUTIONS MANAGEMENT L.P., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., COWEN AND COMPANY, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, COWEN PRIME SERVICES TRADING LLC, BECKER PARIBAS INCORPORATED, ROONEY PACE INC., J. DAVID SECURITIES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2004 - November 17, 2009
CAPITAL SOLUTIONS DISTRIBUTORS, LLC
April 2, 2004 - December 31, 2009
CAPITAL SOLUTIONS MANAGEMENT, L.P.
June 4, 2001 - October 15, 2002
J.P. MORGAN SECURITIES LLC
May 24, 2001 - October 15, 2002
J.P. MORGAN SECURITIES LLC
October 12, 2000 - June 6, 2001
LEHMAN BROTHERS INC.
August 27, 1999 - October 20, 2000
COWEN AND COMPANY
July 5, 1995 - July 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1994 - June 9, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1994 - June 17, 1994
COWEN PRIME SERVICES TRADING LLC
April 27, 1985 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1984 - October 19, 1984
BECKER PARIBAS INCORPORATED
March 5, 1984 - April 16, 1984
ROONEY, PACE INC.
October 19, 1982 - March 2, 1984
J. DAVID SECURITIES, INC.
June 9, 1978 - September 22, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1974 - February 1, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 3, 1973 - August 15, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
Series 18
Date: 6/2/1978
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 6/22/1973
Registered Representative ExaminationSeries 40
Date: 8/10/1978
Registered Principal ExaminationSeries 12
Date: 6/9/1978
NYSE Branch Manager ExaminationCurrent Firm
CAPITAL SOLUTIONS DISTRIBUTORS, LLC
CRD#: 132315 / SEC#: , 8-66585
Contact information
Documents
Disclosures
| Civil Event | 1 |
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