Michael J. Covert
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 James Covert, who also goes by Michael James Couert Jr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2009 - November 28, 2012
GUZMAN & COMPANY
September 30, 1998 - October 11, 1999
GUZMAN & COMPANY
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
GUZMAN & COMPANY
CRD#: 21013 / SEC#: , 8-38646
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
