Michael K. Harewood
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 K Harewood was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 8 firms and has passed the Series 63 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 22, 2004 - June 4, 2004
MILESTONE FINANCIAL SERVICES, INC.
August 27, 2002 - December 2, 2003
MILESTONE FINANCIAL SERVICES, INC.
November 29, 2001 - August 2, 2002
MANTIS SECURITIES, INC.
November 15, 2000 - July 6, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
May 5, 2000 - October 5, 2000
NORTHRIDGE CAPITAL CORPORATION
December 22, 1998 - July 13, 1999
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 6, 1998 - September 15, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
February 28, 1997 - May 21, 1998
LADENBURG CAPITAL MANAGEMENT INC.
February 13, 1997 - March 17, 1997
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MILESTONE FINANCIAL SERVICES, INC.
CRD#: 43295 / SEC#: , 8-50225
Contact information
Documents
Disclosures
| Arbitration | 5 |
Red Flags
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