Michael P. Marshall
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 Playfair Marshall was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1967. Michael had worked at 7 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1989 - September 21, 1989
FIRST UNION CAPITAL MARKETS CORP.
June 18, 1986 - August 17, 1989
MARSHALL & CO. SECURITIES, INC.
September 13, 1984 - August 6, 1986
EASTERN CAPITAL SECURITIES, INC.
November 17, 1983 - November 19, 1984
INTERSOUTH SECURITIES CORPORATION
August 10, 1972 - February 6, 1984
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 8, 1971 - November 7, 1972
ATLANTA SECURITIES CORPORATION
April 4, 1967 - May 6, 1971
GOODBODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 4/3/1967
Registered Representative ExaminationF04
Date: 3/21/1979
Financial Principal ExaminationSeries 00
Date: 4/19/1972
General Securities Principal ExaminationCurrent Firm
FIRST UNION CAPITAL MARKETS CORP.
CRD#: 6124 / SEC#: , 8-12886
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
Red Flags
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