Michael J. Wimmer
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 James Wimmer, who also goes by Michael J Wimmer, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 7 firms and has passed the Series 63, 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
June 9, 2008 - June 12, 2008
EMPIRE ASSET MANAGEMENT COMPANY
December 3, 2007 - February 28, 2008
THE CONCORD EQUITY GROUP, LLC
June 3, 2005 - November 8, 2007
AUGMENT SECURITIES INC.
October 27, 2003 - August 11, 2004
GUNNALLEN FINANCIAL, INC
July 2, 2001 - October 22, 2001
ELECTRONIC TRADING GROUP, LLC
June 26, 2000 - August 30, 2000
ALL-TECH DIRECT, INC.
March 28, 2000 - June 15, 2000
TD AMERITRADE, 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
Series 55
Date: 7/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
