Michael J. Assenza
Professional summary
Michael John Assenza was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Michael had worked at 5 firms, which includes RICHMARK CAPITAL CORPORATION, LH ROSS & COMPANY INC., JOSEPH CHARLES & ASSOC. INC., PARAGON CAPITAL MARKETS INC., NORTHEAST SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2003 - August 18, 2003
RICHMARK CAPITAL CORPORATION
June 7, 2000 - April 2, 2003
LH ROSS & COMPANY, INC.
December 2, 1999 - June 26, 2000
JOSEPH CHARLES & ASSOC., INC.
November 4, 1997 - November 13, 1997
PARAGON CAPITAL MARKETS, INC.
February 7, 1997 - May 2, 1997
NORTHEAST SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
RICHMARK CAPITAL CORPORATION
CRD#: 43162 / SEC#: , 8-50150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RMC 1 CAPITAL MARKETS, INC. | HOLDING COMPANY | |
| WHITE, DOYLE MARK | SECRETARY/TREASURER, DIRECTOR | 2212634 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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