Michael A. Pitt
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 Andrew Pitt was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 41, PC, Series 000, Series 1 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
July 15, 2014 - November 13, 2017
DOLPHIN POINT CAPITAL
March 7, 2007 - July 1, 2014
WILLIAM BLAIR
June 24, 1974 - March 31, 1978
BLUNT ELLIS & SIMMONS INCORPORATED
June 14, 1974 - July 1, 2014
WILLIAM BLAIR
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 41
Date: 6/18/1983
NYSE Allied Member ExaminationPC
Date: 3/31/1978
AMEX Put and Call ExamSeries 000
Date: 6/14/1974
General Securities Principal ExaminationSeries 1
Date: 6/14/1974
Registered Representative ExaminationCurrent Firm
DOLPHIN POINT CAPITAL
CRD#: 160371 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 13 |
| AUM (Assets Under Management) | $ 4,492,859 |
Red Flags
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