Michelle Y. Leivas
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.
Michelle Yvonne Leivas, who also goes by Michelle Yvonne Hernandez, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2003. Michelle had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2003 - September 15, 2004
THE SEIDLER COMPANIES INCORPORATED
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
Series 11
Date: 4/25/2003
Assistant Representative-Order Processing Qualification ExamCurrent Firm
THE SEIDLER COMPANIES INCORPORATED
CRD#: 3911 / SEC#: , 8-14662
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEIDLER HOLDINGS INCORPORATED | PARENT COMPANY | |
| BECK, PAUL ROBERT | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER & DIRECTOR | 1288090 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
| Bond | 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.
