Michael G. Omalley
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 Gene Omalley, who also goes by Michael G Omalley, Mike Omalley, 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 63, Series 65, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2010 - November 7, 2012
GREAT POINT CAPITAL LLC
November 27, 2007 - July 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
October 30, 2006 - January 22, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
January 21, 2004 - January 3, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
July 20, 2000 - March 28, 2002
KERSHNER TRADING GROUP, LLC
July 9, 1999 - September 27, 2001
PROTRADER SECURITIES L.P.
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 55
Date: 8/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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