Michael B. Harwood
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 Brent Harwood was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1999. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2017 - January 2, 2018
NATIONAL SECURITIES CORPORATION
December 10, 2010 - September 13, 2017
MOMENTUM INDEPENDENT NETWORK INC.
October 10, 2002 - December 7, 2010
HILLTOP SECURITIES INC.
October 10, 2002 - December 7, 2010
HILLTOP SECURITIES INC.
January 30, 2001 - October 14, 2002
CETERA INVESTMENT SERVICES LLC
June 24, 1999 - October 14, 2002
CETERA INVESTMENT SERVICES LLC
June 23, 1999 - August 28, 1999
PRUCO SECURITIES, 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
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
