Michael Nethercott
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 Nethercott was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 5 firms and has passed the Series 63, Series 55, Series 7 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
August 6, 2010 - August 8, 2013
BTIG, LLC
June 6, 2008 - August 9, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
August 6, 2003 - February 1, 2006
INSTITUTIONAL DIRECT INC.
June 26, 2000 - June 17, 2008
J.P. MORGAN SECURITIES LLC
July 29, 1999 - April 25, 2000
OLSTEIN CAPITAL MANAGEMENT, L.P.
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 55
Date: 8/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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