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Michael H. Carstens

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CRD#: 41962
MC

Professional summary

Michael Howard Carstens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Michael had worked at 11 firms, which includes THE HIGHLAND CAPITAL GROUP INC., BARCLAY INVESTMENTS LLC, EUROPA SECURITIES LLC, TUCKER ANTHONY INCORPORATED, BREAN MURRAY & CO. INC., BECKER PARIBAS INCORPORATED, LOEB PARTNERS, HORNBLOWER WEEKS NOYES & TRASK INCORPORATED, HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, ANDRESEN & CO., KOHLMEYER & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 12, 1995 - February 20, 1997

THE HIGHLAND CAPITAL GROUP, INC.

BD
CRD#: 34795
NEW YORK, NY
Past

June 28, 1993 - February 15, 1995

BARCLAY INVESTMENTS LLC

BD
CRD#: 6159
NEW YORK, NY
Past

July 30, 1992 - June 8, 1996

EUROPA SECURITIES, LLC

BD
CRD#: 28493
OVIEDO, FL
Past

October 17, 1984 - June 2, 1992

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

November 17, 1982 - April 9, 1984

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
Past

April 3, 1979 - March 4, 1983

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

January 18, 1978 - May 2, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

BD
CRD#: 7394
Past

November 20, 1973 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

BD
CRD#: 412
Past

April 23, 1971 - June 24, 1973

ANDRESEN & CO.

BD
CRD#: 49
Past

November 12, 1970 - April 19, 1971

KOHLMEYER & CO.

BD
CRD#: 494

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 9/30/1992
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 1
Date: 11/5/1970
Registered Representative Examination

Current Firm

TH
THE HIGHLAND CAPITAL GROUP, INC.
THE HIGHLAND CAPITAL GROUP, INC.

CRD#: 34795 / SEC#: , 8-46515

BD
Cancelled by SEC on 02/24/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/27/1993
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BECKER HOLDINGS INC.HOLDING COMPANY
CONCANNON, THOMAS FRANCIS SRPRESIDENT844994
PISTONE, VINCENT FRANCISCHAIRMAN364088

Disclosures

Regulatory Event1

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.

Company Information

THE HIGHLAND CAPITAL GROUP, INC.

CRD#: 34795

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