Michael Goumas
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 Goumas, who also goes by Michael Scott Goumas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2019 - January 26, 2022
FIDELITY PRIME FINANCING
January 26, 2018 - January 26, 2022
FIDELITY BROKERAGE SERVICES LLC
May 20, 2008 - January 26, 2022
NATIONAL FINANCIAL SERVICES LLC
May 26, 1998 - April 22, 2008
FIDELITY BROKERAGE SERVICES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/24/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 6/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PRIME FINANCING
CRD#: 299736 / SEC#: , 8-70261
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | OWNER | |
| CREEDON, ADAM | CHIEF COMPLIANCE OFFICER | 5417517 |
| HUNT, JON PETER | DIRECTOR | 2270130 |
| MARCHUK, ANTON V | ELECTED MANAGER | 4002432 |
| REMMES, GREGORY JOHN | PRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER | 2169049 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| RICHARD, STEPHEN ROBERT | PRESIDENT; ELECTED MANAGER | 3113456 |
| RYAN, KRISTA | C.L.O.; SECRETARY | |
| TESAURO, THOMAS JOHN | C.E.O., ELECTED MANAGER | 1862532 |
Red Flags
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