Mickey P. Mclellan
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.
Mickey Paul Mclellan was a registered financial professional .
Mickey is a previously registered financial professional and started their career in finance in 1999. Mickey had worked at 10 firms and has passed the Series 63, Series 79TO, 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
November 5, 2019 - January 4, 2022
SW FINANCIAL
August 7, 2017 - January 16, 2018
WESTPARK CAPITAL, INC.
September 21, 2016 - November 11, 2016
WOODSTOCK FINANCIAL GROUP, INC.
May 20, 2016 - October 19, 2016
PRIMEX
April 28, 2014 - November 4, 2014
WOODSTOCK FINANCIAL GROUP, INC.
October 30, 2009 - May 2, 2014
HUNTER SCOTT FINANCIAL LLC.
August 17, 2009 - October 14, 2009
STONEX SECURITIES INC.
November 1, 2005 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
July 5, 2002 - November 14, 2005
SALOMON GREY FINANCIAL CORPORATION
March 5, 2002 - June 14, 2002
LASALLE ST SECURITIES, L.L.C.
January 14, 2002 - February 27, 2002
SALOMON GREY FINANCIAL CORPORATION
February 13, 2001 - February 20, 2001
SALOMON GREY FINANCIAL CORPORATION
November 12, 1999 - November 15, 2000
BARRON CHASE SECURITIES, INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
