Michael R. Halen
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 Rocco Halen 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 87, Series 86, 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
March 16, 2011 - June 30, 2014
SIDOTI & COMPANY, LLC
April 25, 2008 - May 11, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
February 28, 2003 - April 28, 2008
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
July 16, 1999 - March 27, 2003
HEARTLAND SECURITIES CORP.
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: 4/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
SIDOTI & COMPANY, LLC
CRD#: 102860 / SEC#: , 8-52141
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
