Michelle M. Sarapura
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.
Michelle May Sarapura, who also goes by Michelle May Gallea, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2004. Michelle had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - August 27, 2018
CROWN CAPITAL SECURITIES, L.P.
December 1, 2017 - August 27, 2018
CROWN CAPITAL SECURITIES, L.P.
September 21, 2011 - December 7, 2015
MORGAN STANLEY
September 12, 2011 - December 7, 2015
MORGAN STANLEY
June 1, 2009 - October 15, 2009
MORGAN STANLEY
June 1, 2009 - October 15, 2009
MORGAN STANLEY
November 26, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 10, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 3, 2007 - September 5, 2008
EUREKACAP PARTNERS, INC.
October 12, 2006 - March 30, 2007
SILVER LEAF PARTNERS, LLC
February 18, 2005 - May 25, 2006
EQUITABLE ADVISORS, LLC
August 3, 2004 - January 13, 2005
CITIGROUP GLOBAL MARKETS 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| 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.
