Michael J. Maher
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 Joseph Maher was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1967. Michael had worked at 8 firms and has passed the Series 63, Series 41, PC, Series 1 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
December 21, 2011 - February 27, 2013
INVEMED ASSOCIATES LLC
November 16, 2006 - December 14, 2011
GRIFFIN SECURITIES, INC.
August 11, 2004 - July 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 1999 - July 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1997 - April 8, 1999
LEHMAN BROTHERS INC.
March 3, 1995 - October 10, 1996
CAPITAL INVESTMENTS INTERNATIONAL INC.
January 30, 1974 - March 9, 1995
DEUTSCHE BANK SECURITIES INC.
April 9, 1973 - January 19, 1974
LOEB RHOADES & CO
November 28, 1967 - February 12, 1973
WHITE, WELD & CO. INCORPORATED
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 41
Date: 5/12/1983
NYSE Allied Member ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 11/27/1967
Registered Representative ExaminationCurrent Firm
INVEMED ASSOCIATES LLC
CRD#: 6728 / SEC#: , 8-18082
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
