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Michelle Mary Uzovich

CRD# 2978139·Registered 1998 - 2013
Previously Registered: Being a previously registered professional could mean that Michelle 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.

Professional Summary

Michelle Mary Uzovich, who also goes by Michelle Mary Janniello, Michelle Mary Uzovich, was a registered financial advisor. Michelle was a previously registered financial professional and started their career in finance 1998 - 2013. Michelle had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michelle Mary Janniello, Michelle Mary Uzovich

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

DIRECT ACCESS PARTNERS LLC·CRD# 120950
BD
New York, NY
April 17, 2013 - May 22, 2013
CANTOR FITZGERALD & CO.·CRD# 134
BD
Purchase, NY
February 28, 2011 - April 2, 2013
PCS DUNBAR SECURITIES, LLC·CRD# 128144
BD
Purchase, NY
March 3, 2004 - February 28, 2011
PCS SECURITIES, INC.·CRD# 47588
BD
New York, NY
May 13, 2003 - December 14, 2004
FANO SECURITIES LLC·CRD# 37867
BD
New York, NY
February 4, 1998 - May 5, 2003

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Current Firm

DA
DIRECT ACCESS PARTNERS LLC

DIRECT ACCESS GROUP LLC | DIRECT ACCESS PARTNERS LLC

CRD#: 120950 / SEC#: 8-65361
BD
Cancelled by SEC on 10/26/2016

Contact Information

Established

New York since 04/18/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT ACCESS GROUP LLCSOLE MANAGING MEMBER—
GETTENBERG, GARYCHIEF FINANCIAL OFFICER1973696
ROMAN, ELLIOTT MARCELCHIEF COMPLIANCE OFFICER2670426
ROMAN, ELLIOTT MARCELCOO2670426

Disclosures

Regulatory Event

4

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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