Mike Shamai
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.
Mike Shamai was a registered financial professional .
Mike is a previously registered financial professional and started their career in finance in 2000. Mike had worked at 7 firms and has passed the Series 63 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
February 13, 2006 - February 23, 2007
BROOKVILLE CAPITAL PARTNERS
July 23, 2003 - April 3, 2006
BENSON YORK GROUP, INC.
August 9, 2002 - July 18, 2003
WINDSOR STREET CAPITAL, LP
March 26, 2001 - July 19, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 2000 - March 22, 2001
THINKEQUITY LLC
September 19, 2000 - September 29, 2000
HAPOALIM SECURITIES USA, INC.
September 15, 2000 - November 29, 2000
DUPONT SECURITIES GROUP, 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
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
