Michael Cruz
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 Cruz was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 8 firms and has passed the Series 63, Series 7TO, 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
March 14, 2019 - July 12, 2020
ARIVE CAPITAL MARKETS
March 9, 2016 - April 17, 2017
SOUTHEAST INVESTMENTS, N.C., INC.
November 5, 2014 - January 4, 2016
WOODSTOCK FINANCIAL GROUP, INC.
January 31, 2011 - November 5, 2014
LEGEND SECURITIES, INC.
May 26, 2006 - February 9, 2011
FIRST MIDWEST SECURITIES, INC.
June 9, 2004 - May 31, 2006
GUNNALLEN FINANCIAL, INC
April 3, 2003 - June 14, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 15, 2002 - April 7, 2003
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
