Michael Z. Landy
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 Z Landy was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1968. Michael had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1997 - January 26, 2021
IMPERIAL CAPITAL, LLC
August 8, 1996 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
March 25, 1994 - May 21, 1996
CANTOR FITZGERALD & CO.
February 21, 1991 - February 10, 1994
JEFFERIES LLC
March 3, 1983 - March 16, 1983
JONESTRADING
November 22, 1982 - March 5, 1986
ELMS SECURITIES CORP.
April 8, 1981 - June 23, 1982
JONESTRADING
October 14, 1968 - March 27, 1981
CANTOR FITZGERALD & CO.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/18/1963
Registered Representative ExaminationSeries 00
Date: 4/15/1974
General Securities Principal ExaminationCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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