Michelle P. Browning
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 Powers Browning, who also goes by Michelle L Powers, Michelle Lesley Powers, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2001. Michelle had worked at 5 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
November 30, 2009 - September 13, 2012
CAREY FINANCIAL, LLC
September 10, 2009 - November 23, 2009
RESOURCE SECURITIES LLC
November 6, 2006 - August 12, 2009
RESOURCE SECURITIES LLC
February 23, 2006 - November 3, 2006
ANTHEM SECURITIES, INC.
August 13, 2002 - February 13, 2006
ATEL SECURITIES CORPORATION
May 9, 2001 - August 1, 2002
ALPS DISTRIBUTORS, 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
CAREY FINANCIAL, LLC
CRD#: 15246 / SEC#: , 8-31901
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
