Michael L. Ashby
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 Lea Ashby was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 3 firms and has passed the Series 66, SIE, Series 55, 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
August 6, 2010 - February 9, 2016
WESTLAKE SECURITIES
January 7, 2008 - August 3, 2010
APS FINANCIAL CORPORATION
September 8, 1999 - January 3, 2008
TEJAS SECURITIES GROUP, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 10/9/2013
Limited Representative-Equity Trader ExamCurrent Firm
WESTLAKE SECURITIES
CRD#: 127112 / SEC#: , 8-65957
Contact information
Documents
Direct owners and executive officers
Red Flags
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