Michael E. Mantyla
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 Edward Mantyla was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2013 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
March 1, 2013 - February 19, 2015
W.A. CAPITAL MARKETS
April 23, 2012 - June 18, 2012
PIERPONT CAPITAL ADVISORS LLC
June 7, 2010 - March 15, 2012
DAIWA CAPITAL MARKETS AMERICA INC.
August 21, 2009 - May 27, 2010
COHEN & COMPANY SECURITIES, LLC
November 10, 2005 - July 29, 2009
JEFFERIES LLC
August 6, 2001 - December 12, 2003
U.S. BANCORP INVESTMENTS, INC.
August 28, 2000 - April 11, 2005
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CITATION FINANCIAL GROUP, L.P.
CRD#: 28305 / SEC#: , 8-43632
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITATION MANAGEMENT GROUP INC. | CORPORATE GENERAL PARTNER | |
| JMX OF WESTERN NEW YORK, INC. | CORPORATE LIMITED PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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