Thaddeus M. Mirochna
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.
Thaddeus Mitchell Mirochna, who also goes by Colonel Mirochna, Doc Mirochna, Miroc Mirochna, Ted Mirochna, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1968. Thaddeus had worked at 7 firms and has passed the Series 63, Series 3, Series 5, Series 000, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
March 25, 1988 - September 30, 1992
FIRST OF MICHIGAN CORPORATION
September 15, 1981 - April 14, 1988
LEHMAN BROTHERS INC.
February 15, 1979 - September 24, 1981
ASHTON YOUNG, INC.
January 5, 1976 - December 22, 1987
E. F. HUTTON & COMPANY INC
October 31, 1972 - January 30, 1976
REYNOLDS SECURITIES, INC.
June 25, 1968 - December 24, 1972
SHEARSON, HAMMILL & CO., INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 6/21/1968
General Securities Principal ExaminationSeries 1
Date: 6/21/1968
Registered Representative ExaminationCurrent Firm
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
CRD#: 13741 / SEC#: , 8-45398
Contact information
Documents
Red Flags
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