Amy B. Michael
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.
Amy Beth Michael, who also goes by Amy Beth Fabino, Amy Fabino, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1999. Amy had worked at 8 firms and has passed the Series 63, SIE, 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
April 25, 2006 - August 14, 2015
SANDLER, O'NEILL & PARTNERS, L.P.
January 28, 2005 - April 20, 2006
CREDIT SUISSE SECURITIES (USA) LLC
December 9, 2003 - January 13, 2005
OSAIC WEALTH, INC.
March 19, 2003 - September 25, 2003
OPPENHEIMER & CO. INC.
March 9, 2002 - February 18, 2003
RBC CAPITAL MARKETS, LLC
March 13, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
December 8, 1999 - March 1, 2001
PUGLISI & CO.
April 13, 1999 - December 13, 1999
CIBC WORLD MARKETS CORP.
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
SANDLER, O'NEILL & PARTNERS, L.P.
CRD#: 23328 / SEC#: , 8-40214
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
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.
