Michael W. Burroughs
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 Wallace Burroughs, who also goes by Michael W Burroughs, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 13 firms and has passed the Series 63, Series 55, Series 1, Series 27, 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
January 5, 2006 - February 18, 2010
TJM INVESTMENTS, LLC
December 20, 2002 - November 3, 2003
HEIR OPTIONS TRADING
December 18, 2002 - December 12, 2005
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
December 11, 2002 - December 8, 2009
DREIFUSS, STEVEN EARL
June 5, 2001 - September 30, 2005
G1 EXECUTION SERVICES, LLC
August 25, 1994 - April 9, 1996
SWISS FINANCIAL SECURITIES, INC.
January 10, 1994 - July 10, 1997
INSTITUTIONAL INVESTOR SERVICE, LLC
March 15, 1993 - June 5, 2001
GVR COMPANY
January 11, 1993 - November 22, 1993
TRADERS CONSULTING GROUP INC.
May 31, 1991 - May 28, 1992
ABN AMRO CLEARING USA LLC
November 2, 1990 - April 22, 1991
APPLIED CAPITAL, INC.
August 2, 1983 - October 26, 1990
R.F.G. COMPANY
June 11, 1973 - July 11, 1980
H. S. KIPNIS & CO.
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: 4/1/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 6/6/1973
Registered Representative ExaminationCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
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.
