Michelle A. Dubay
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.
Michelle Anne Dubay, who also goes by Michelle Anne O'brien, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2001. Michelle had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2018 - May 19, 2020
PURSHE KAPLAN STERLING INVESTMENTS
December 1, 2014 - July 15, 2016
MORGAN STANLEY
November 13, 2014 - July 15, 2016
MORGAN STANLEY
March 13, 2009 - December 11, 2014
RBC CAPITAL MARKETS, LLC
July 13, 2001 - March 13, 2009
FERRIS, BAKER WATTS, LLC
February 20, 2001 - July 17, 2001
LEGG MASON WOOD WALKER, 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
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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