Michael S. Maynes
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 Seton Maynes was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 5 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
March 26, 2013 - February 8, 2016
UNIFIED FINANCIAL SECURITIES, LLC
July 11, 2012 - December 12, 2012
HORNOR, TOWNSEND & KENT, LLC
July 12, 2001 - September 28, 2011
EQUITABLE DISTRIBUTORS, LLC
December 20, 2000 - July 19, 2001
NYLIFE DISTRIBUTORS LLC
April 7, 2000 - October 9, 2000
LADENBURG CAPITAL MANAGEMENT INC.
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
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
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.
