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Michele T. Mieuli

Some features on this profile are disabled
CRD#: 4244260
MM

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.

Michele T Mieuli was a registered financial professional .

Michele is a previously registered financial professional and started their career in finance in 2000. Michele had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.

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

April 4, 2007 - February 18, 2015

HOULIHAN LOKEY ADVISORS, LLC

BD
CRD#: 127835
SAN FRANCISCO, CA
Past

September 4, 2006 - March 16, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
SAN FRANCISCO, CA
Past

July 30, 2003 - July 12, 2004

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 12, 2000 - July 22, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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: 4/13/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/18/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 9/11/2000
Corporate Securities Limited Representative Examination

Current Firm

HL
HOULIHAN LOKEY ADVISORS, LLC
GCA ADVISORS, LLC | SILVER CREEK CAPITAL ADVISORS, LLC | SAVVIAN ADVISORS, LLC | PERSEUS ADVISORS, LLC | HOULIHAN LOKEY ADVISORS, LLC | GCA SAVVIAN ADVISORS, LLC

CRD#: 127835 / SEC#: , 8-66065

BD
Terminated by SEC on 05/28/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GCA SAVVIAN, INC.PARENT COMPANY
AARON, STEVEN ROSSCHIEF COMPLIANCE OFFICER1298072
BALDWIN, GEOFFREY DUFFCO-CEO1500281
CARTER, TODD JOHNCO-CEO
LAMBROS, JOHN FORTUNEPRESIDENT2368612
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER4632869

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

HOULIHAN LOKEY ADVISORS, LLC

CRD#: 127835

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