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Michael Edward Sammon

CRD# 409750·Registered 1971 - 2019
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Edward Sammon was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1971 - 2019. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

55 years in the financial services industry

Current & Past Employments

FIG PARTNERS, LLC·CRD# 41554
BD
Chicago, IL
June 17, 2015 - February 28, 2019
HOVDE GROUP, LLC·CRD# 25425
BD
Chicago, IL
April 13, 2011 - February 6, 2015
B. RILEY WEALTH MANAGEMENT·CRD# 2543
RIA
Chicago, IL
August 23, 2006 - April 5, 2011
B. RILEY WEALTH MANAGEMENT·CRD# 2543
BD
Chicago, IL
August 23, 2006 - April 5, 2011
RYAN BECK & CO.·CRD# 3248
RIA
Chicago, IL
March 22, 2005 - September 12, 2006
RYAN BECK & CO.·CRD# 3248
BD
Chicago, IL
March 21, 2005 - September 12, 2006
FBR INVESTMENT MANAGEMENT, INC.·CRD# 108883
RIA
Arlington , VA
May 21, 2003 - December 31, 2003
FRIEDMAN BILLINGS RAMSEY INVESTMENT MANAGEMENT INC·CRD# 107220
RIA
Arlington, VA
January 21, 2003 - April 14, 2003
B. RILEY SECURITIES, INC.·CRD# 25027
BD
Arlington, VA
November 18, 2002 - March 15, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
RIA
Chicago, IL
March 12, 2001 - December 9, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
St. Louis, MO
January 30, 2001 - December 9, 2002
HOWE BARNES HOEFER & ARNETT, INC.·CRD# 2240
BD
Chicago, IL
November 2, 1992 - December 31, 2000
THE CHICAGO CORPORATION·CRD# 1449
BD
Chicago, IL
March 26, 1982 - November 3, 1992
BACON, WHIPPLE & CO.·CRD# 67
BD
January 5, 1971 - March 30, 1982

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Current Firm

FP
FIG PARTNERS, LLC

BROWN BURKE SECURITIES, INC. | FIG PARTNERS, LLC | FIG ASSET MANAGEMENT LLC | FCA SECURITIES, INC. | BURKE SECURITIES, LLC | BROWN, BURKE SECURITIES, LLC. | BROWN, BURKE SECURITIES, INC. | BROWN, BURKE CAPITAL PARTNERS, INC.

CRD#: 41554 / SEC#: 801-79712, 8-49517
BD
Terminated by SEC on 01/25/2020

Contact Information

Main Address

1475 Peachtree St Ne Suite 800, Atlanta, GA 30309

Established

Georgia since 04/22/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JANNEY MONTGOMERY SCOTT LLCSOLE STOCKHOLDER463
HODGSON, GEOFFREY MARTINMANAGING MEMBER2563404
JONES, LAUREN BARTLETTCHIEF COMPLIANCE OFFICER FINOP CFO1328072

Disclosures

Regulatory Event

4

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 5 — Interest Rate Options Examination

Passed Oct 1981

PC — AMEX Put and Call Exam

Passed Sep 1977

Series 1 — Registered Representative Examination

Passed Dec 1970

Series 24 — General Securities Principal Examination

Passed Jun 1987About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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