Michael S. Mccabe
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 Shawn Mccabe was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 7 firms and has passed the Series 66, Series 63 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
September 14, 2011 - April 18, 2012
FORESTERS EQUITY SERVICES, INC.
September 13, 2011 - April 18, 2012
FORESTERS EQUITY SERVICES, INC.
October 8, 2009 - July 9, 2010
CHARTER ADVISORY CORPORATION
September 8, 2009 - October 19, 2009
LPL FINANCIAL LLC
September 8, 2009 - July 29, 2010
LPL FINANCIAL LLC
March 28, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 11, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
January 9, 2002 - December 31, 2005
MUTUAL SERVICE CORPORATION
August 22, 2000 - November 6, 2000
UBS FINANCIAL SERVICES INC.
April 20, 2000 - August 15, 2000
FSC SECURITIES CORPORATION
December 20, 1999 - April 12, 2000
FIDELITY BROKERAGE SERVICES LLC
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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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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