Michael K. Maunsell
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 Kevin Maunsell was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 14, 2004 - January 31, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 3, 2004 - January 31, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 20, 2004 - December 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - December 6, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 25, 2004 - October 20, 2004
QUICK & REILLY, INC.
March 27, 2003 - October 20, 2004
QUICK & REILLY, INC.
January 8, 2001 - March 17, 2003
ESSEX NATIONAL SECURITIES, LLC
April 20, 2000 - January 2, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 22, 1999 - April 20, 2000
FIRST UNION BROKERAGE SERVICES, INC.
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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