Michelle D. Work
Professional summary
Michelle Dawn Work was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michelle is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Michelle had worked at 1 firm, which includes BANC ONE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2001 - March 24, 2004
BANC ONE SECURITIES CORPORATION
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
BANC ONE SECURITIES CORPORATION
CRD#: 16999 / SEC#: , 8-34881
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDING CORPORATION | HOLDING COMPANY | |
| ANDERSON, ELLEN FOWLER | ASSISTANT SECRETARY | 1819869 |
| BERRY, JAMES C. P. | SECRETARY | 4361911 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DAVIS, JEFFREY L | ASSISTANT SECRETARY | |
| DONOVAN, DAVID EDWIN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1081912 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CEO, DIRECTOR | 2354456 |
| KRAMER, JOHN MCDEVITT | CHIEF COMPLIANCE OFFICER | 2350116 |
| MACLELLAN, JOHN STEPHEN | SENIOR VICE PRESIDENT, DIRECTOR | 1050214 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| REED, MICHAEL JOHN | EXECUTIVE VICE PRESIDENT, DIRECTOR | 1553478 |
| SAMSON, TIMOTHY HUGH | ASSISTANT SECRETARY | 4603479 |
| SCHARF, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2123345 |
| WARTA, TERESA LYNN | TREASURER & CFO | 2055433 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 9 |
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