Michael J. Nugent
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 John Nugent was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 000, Series 1 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2013 - November 5, 2015
PRIMESOLUTIONS SECURITIES, INC.
May 10, 2011 - December 31, 2012
GBS FINANCIAL CORP.
April 20, 2001 - January 26, 2009
UBS FINANCIAL SERVICES INC.
May 5, 2000 - January 26, 2009
UBS FINANCIAL SERVICES INC.
April 2, 1997 - February 23, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 1983 - April 11, 1997
MORGAN STANLEY DW INC.
September 26, 1978 - March 24, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 000
Date: 6/27/1973
General Securities Principal ExaminationSeries 1
Date: 6/27/1973
Registered Representative ExaminationCurrent Firm
PRIMESOLUTIONS SECURITIES, INC.
CRD#: 46017 / SEC#: , 8-51286
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 6 |
Red Flags
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