Michael H. Grady
Professional summary
Michael Harris Grady was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Michael had worked at 2 firms, which includes BREAN MURRAY & CO. INC., HARMONIC RESEARCH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2001 - November 18, 2003
BREAN MURRAY & CO., INC.
July 15, 1999 - August 13, 2001
HARMONIC RESEARCH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BREAN MURRAY & CO., INC.
CRD#: 7541 / SEC#: , 8-17820
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMI HOLDING CORP. | PARENT HOLDING COMPANY | |
| BAILEY, JOSEPH ARTHUR | COMPLIANCE DIRECTOR | |
| BARON, JEROME SEYMOUR | VICE CHAIRMAN/MANAGING DIRECTOR | 13158 |
| FIELDS, NORMAN CHARLES | SHARE HOLDER | 207355 |
| HERMAN, MELVIN STEVE | CHIEF OPERATING OFFICER | 1867613 |
| KIRSCH, KENNETH JOHN II | CHIEF FINANCIAL OFFICER | 1671480 |
| MCCLUSKEY, WILLIAM JAMES | PRESIDENT & CEO | |
| MURRAY, BETTINA PATTERSON | CHAIRMAN |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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