Michelle L. Farris
Professional summary
Michelle Lynn Farris, who also goes by Michelle Farris Farris, Michelle F. Martin, Michelle Farris Martin, Michelle Lynn Martin, Michelle Farris Shofman, Michelle Lynn Shofman, is a registered financial professional currently at PWA SECURITIES, LLC located in Fort Lauderdale, Florida.
Michelle is registered as a RR (Registered Representative) and started their career in finance in 1998. Michelle has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michelle Lynn Farris's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 25, 2023 - Present
PWA SECURITIES, LLC
Office #1: 200 East Las Olas Blvd 19th Floor, Fort Lauderdale, FL, 33301October 22, 2018 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 27, 2017 - October 5, 2018
SECURITIES AMERICA, INC.
August 1, 2016 - March 10, 2017
HORTER INVESTMENT MANAGEMENT, LLC
February 3, 2014 - January 12, 2016
RAYMOND JAMES & ASSOCIATES, INC.
August 13, 2013 - November 21, 2013
G.F. INVESTMENT SERVICES, LLC
April 13, 2012 - April 20, 2012
NATIONAL FINANCIAL SERVICES LLC
September 23, 1998 - May 17, 2010
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
PWA SECURITIES, LLC
CRD#: 321974 / SEC#: , 8-70938
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWA HOLDINGS, LLC | MEMBER | |
| DONELSON, LISA ANTOINETTE | COMPLIANCE OFFICER | 2248926 |
| HEDIGER, LEE FREDERICK | BOARD OF DIRECTORS | 2696174 |
| MOLL, TODD ANTHONY | BOARD OF DIRECTORS | 2134560 |
| ROSANEL, JOSEPH PINHAS | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6215325 |
| SAKA, JOSEPH LESTER | BOARD OF DIRECTORS | 7704169 |
| SCANLAN, THOMAS JOSEPH | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, MUNI PRINCIPAL, REGISTERED OPTIONS PRINCIPAL, POO | 3182780 |
Red Flags
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Company Information
PWA SECURITIES, LLC
CRD#: 321974Fort Lauderdale, FL 33301TRUST BUT VERIFY
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