Michael J. Black
Professional summary
Michael James Black, who also goes by Mike Black, is a registered financial advisor currently at BRIGHTON SECURITIES CORP. located in Huntersville, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 14 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Black's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael James Black's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2022 - Present
BRIGHTON SECURITIES CORP.
Office #1: 8936 Northpointe Executive Park Drive Suites 240/260, Huntersville, NC 28078June 28, 2021 - Present
BRIGHTON SECURITIES CORP.
Office #1: 1703 Monroe Avenue, Rochester, NY 14618-1487August 31, 2021 - January 18, 2022
BRIGHTON SECURITIES CORP.
June 28, 2021 - December 31, 2021
BRIGHTON SECURITIES CAPITAL MANAGEMENT, INC.
March 15, 2021 - June 30, 2021
CADARET, GRANT & CO., INC.
March 15, 2021 - June 30, 2021
CADARET, GRANT & CO., INC.
September 14, 2020 - March 23, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 14, 2020 - March 23, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 25, 2016 - September 14, 2020
EK RILEY INVESTMENTS, LLC
June 21, 2016 - September 14, 2020
EK RILEY INVESTMENTS, LLC
September 6, 2012 - June 3, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 31, 2012 - June 3, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 10, 2004 - September 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2002 - September 4, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2001 - November 26, 2001
EQUITABLE ADVISORS, LLC
July 15, 1999 - June 27, 2001
HARRISDIRECT LLC
October 15, 1997 - November 10, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
July 10, 1997 - August 30, 1997
MORGAN GRANT CAPITAL CORP.
July 2, 1997 - July 18, 1997
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2024)
(1/19/2022)
(1/5/2024)
(1/9/2024)
(3/31/2022)
(1/19/2022)
(1/5/2024)
(6/28/2021)
(1/19/2022)
(1/19/2022)
(2/18/2022)
(1/5/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
