Michael J. Pelland
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 Pelland was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - August 18, 2014
J.W. COLE FINANCIAL, INC.
March 5, 2007 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
September 3, 2002 - June 12, 2006
GIRARD SECURITIES, INC.
June 28, 2002 - September 25, 2002
SPELMAN & CO., INC.
June 3, 1998 - September 18, 2002
SENTRA SECURITIES CORPORATION
April 16, 1997 - March 24, 1998
VANGUARD CAPITAL
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
