Geraldine A. Michalik
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.
Geraldine Adele Veronica Michalik, who also goes by Geraldine Adele Veronica Michalik Ph.d., was a registered financial professional .
Geraldine is a previously registered financial professional and started their career in finance in 1997. Geraldine had worked at 4 firms and has passed the Series 63, Series 66, 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
March 17, 2015 - December 31, 2018
LEAGUE CAPITAL MARKETS
September 26, 2007 - October 1, 2014
RYAN LABS ASSET MANAGEMENT
June 7, 2007 - December 31, 2010
AGINCOURT, LTD.
June 23, 1997 - October 2, 2006
BELMONT PARTNERS SECURITIES INC.
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
LEAGUE CAPITAL MARKETS
CRD#: 170803 / SEC#: , 8-69432
Contact information
FINRA licenses (14 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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