Michael L. Markey
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 Lynn Markey was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - November 17, 2023
AMERICAN INVESTORS COMPANY
March 11, 1988 - November 17, 2023
AMERICAN INVESTORS COMPANY
December 24, 1987 - March 22, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 5, 1979 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
June 9, 1978 - November 5, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
January 6, 1977 - July 9, 1978
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 23, 1975 - January 6, 1977
PUTNAM FUND DISTRIBUTORS, INC
May 18, 1973 - February 23, 1975
PUTNAM FINANCIAL SERVICES, INC.
April 28, 1972 - July 1, 1973
USLIFE EQUITY SALES CORP
March 17, 1971 - May 27, 1972
BELL SECURITIES CORPORATION
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/11/1971
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
