Michael J. Pantelios
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 James Pantelios was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2015 - October 30, 2015
NATIONAL SECURITIES CORPORATION
January 9, 2009 - March 6, 2015
WOODSTOCK FINANCIAL GROUP, INC.
February 21, 2008 - September 9, 2008
MERCER CAPITAL LTD.
May 17, 2007 - March 27, 2008
REID & RUDIGER LLC
October 28, 2005 - May 21, 2007
J.P. TURNER & COMPANY, L.L.C.
July 15, 2003 - May 11, 2004
JOSEPH STEVENS & CO., INC.
January 25, 2002 - July 25, 2002
KSH INVESTMENT GROUP, INC.
December 18, 2001 - January 28, 2002
METROPOLITAN LIFE INSURANCE COMPANY
December 18, 2001 - January 28, 2002
MSI FINANCIAL SERVICES, INC.
March 2, 2001 - September 24, 2001
J.P. TURNER & COMPANY, L.L.C.
August 21, 2000 - February 13, 2001
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
