Michael E. Rask
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 Edward Rask was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2013 - January 13, 2021
FIRST DALLAS SECURITIES INCORPORATED
May 23, 2007 - January 13, 2021
HODGES CAPITAL MANAGEMENT INC
April 6, 2005 - January 13, 2021
FIRST DALLAS SECURITIES INCORPORATED
April 5, 2004 - April 6, 2005
BRIDGE TRADING COMPANY
June 24, 1999 - February 4, 2004
CAPIS
Primary Firm SEC Registration
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
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 7TO
Date: 6/11/2024
General Securities Representative ExaminationSeries 99TO
Date: 12/22/2022
Operations Professional ExaminationSeries 57TO
Date: 12/22/2022
Securities Trader ExamSeries 55
Date: 5/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIRST DALLAS SECURITIES INCORPORATED
CRD#: 24549 / SEC#: 801-66208, 8-41231
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 266 |
| AUM (Assets Under Management) | $ 335,711,026 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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