Michael A. Novom
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 Abraham Novom was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 11 firms and has passed the Series 63, Series 15, Series 1, Series 24 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
September 20, 1995 - August 20, 1996
CARLIN EQUITIES, LLC
February 4, 1994 - September 26, 1995
A.B. WATLEY DIRECT, INC.
October 16, 1989 - January 7, 1994
KERN, SUSLOW SECURITIES, INC.
May 10, 1989 - November 2, 1989
NOYES PARTNERS INCORPORATED
January 11, 1988 - March 30, 1989
ALL-TECH DIRECT, INC.
November 27, 1987 - December 8, 1987
VANDERBILT SECURITIES, INC.
November 12, 1987 - February 4, 1988
LEVCO SECURITIES CORP.
October 23, 1986 - November 24, 1987
DOMESTIC ARBITRAGE GROUP, INC.
May 16, 1974 - November 3, 1986
PHILIPS, APPEL & WALDEN, INC.
February 15, 1973 - September 5, 1975
PRESSMAN, FROHLICH & FROST, INC.
March 9, 1972 - March 15, 1973
MANDELBAUM SECURITIES CORPORATION
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 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 1
Date: 3/6/1972
Registered Representative ExaminationCurrent Firm
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
