Michael D. Nauman
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 David Nauman, who also goes by Michael David Nauman Mr, Mike David Nauman, Mike Nauman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 5 firms and has passed the Series 66, 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
July 27, 2018 - May 4, 2023
LION STREET FINANCIAL, LLC
December 6, 2017 - July 31, 2018
FSC SECURITIES CORPORATION
December 5, 2017 - July 31, 2018
FSC SECURITIES CORPORATION
December 20, 2010 - December 6, 2017
SII INVESTMENTS, INC.
December 16, 2010 - December 6, 2017
SII INVESTMENTS, INC.
January 2, 2004 - December 17, 2010
NEXT FINANCIAL GROUP, INC.
March 17, 2003 - May 2, 2011
JK JONES FINANCIAL NETWORK
April 3, 1998 - December 31, 2003
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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