Michael Visconti
Professional summary
Michael Visconti was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Michael had worked at 6 firms, which includes MARQUIS FINANCIAL SERVICES INC., WOODSTOCK FINANCIAL GROUP INC., MORGAN WILSHIRE SECURITIES INC., CLARK STREET CAPITAL INC., ROYAL HUTTON SECURITIES CORP., DALTON KENT SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2005 - July 19, 2005
MARQUIS FINANCIAL SERVICES, INC.
March 21, 2002 - June 13, 2003
WOODSTOCK FINANCIAL GROUP, INC.
November 6, 2001 - April 4, 2002
MORGAN WILSHIRE SECURITIES, INC.
May 7, 2001 - June 8, 2001
CLARK STREET CAPITAL, INC.
May 25, 2000 - May 4, 2001
ROYAL HUTTON SECURITIES CORP.
January 20, 2000 - May 5, 2000
DALTON KENT SECURITIES GROUP, 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
Current Firm
MARQUIS FINANCIAL SERVICES, INC.
CRD#: 20733 / SEC#: , 8-38398
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
