Michael Molina
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 Molina, who also goes by Mike Molina, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 63, 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
June 30, 2015 - October 1, 2015
LEGEND SECURITIES, INC.
July 17, 2013 - October 11, 2013
LEGEND SECURITIES, INC.
May 22, 2008 - August 16, 2011
J.P. TURNER & COMPANY, L.L.C.
January 19, 2007 - May 8, 2008
VFINANCE INVESTMENTS, INC
December 19, 2005 - January 18, 2006
OBSIDIAN FINANCIAL GROUP, LLC
November 20, 2002 - January 2, 2004
LADENBURG THALMANN & CO. INC.
May 11, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT 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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
