Michael R. Lippold
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 Roger Lippold, who also goes by Mike Roger Lippold, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 6 firms and has passed the Series 63, Series 65, Series 87 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
July 25, 2007 - May 8, 2008
CRAIG-HALLUM CAPITAL GROUP LLC
September 29, 2003 - February 25, 2014
ROCKET CAPITAL MANAGEMENT, L.L.C.
July 1, 2003 - July 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 1, 2001 - February 20, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
July 31, 2000 - January 1, 2001
MJK CLEARING, 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
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
