Michael J. Harden

SHORELINEAMBROSE ADVISORS

San Diego, CA 92122

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CRD#: 4256503

Professional summary

Michael James Harden is a registered financial professional currently at SHORELINEAMBROSE ADVISORS, LLC located in San Diego, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

Current

January 6, 2016 - Present

SHORELINEAMBROSE ADVISORS, LLC

Office #1: 6310 Greenwich Drive Suite 120, San Diego, CA 92122

CRD#: 141046

San Diego, CA

Past

May 27, 2009 - June 9, 2016

EUREKA CAPITAL MARKETS, LLC

CRD#: 116873

COSTA MESA, CA

Past

November 10, 2008 - May 6, 2009

BCC ADVISORY SERVICES, LLC

RIA

CRD#: 143642

NEWPORT BEACH, CA

Past

September 17, 2007 - May 6, 2009

BCC ADVISORY SERVICES, LLC

CRD#: 143642

NEWPORT BEACH, CA

Past

September 1, 2000 - April 10, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/7/2016)

Exams

State Security Law Exam

Series 63

Date: 7/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SHORELINEAMBROSE ADVISORS, LLC

SHORELINEAMBROSE ADVISORS, LLC | SHP SECURITIES, LLC

CRD#: 141046 / SEC#: , 8-67357

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6310 Greenwich Drive Suite 120, San Diego, CA 92122

Mailing Address

6310 Greenwich Drive Suite 120, San Diego, CA 92122

Phone number

(858) 587-9800

Established

California since 04/08/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMBROSE CAPITAL PARTNERS, LLC	OWNER
SHORELINE PARTNERS, LLC	OWNER
HARDEN, MICHAEL JAMES	VICE PRESIDENT	4256503
MALOTT, TIMOTHY GERALD	PRESIDENT AND CEO, CCO & AMLCO	5246927
THORNTON, STEVEN LEE	FINOP	4496384

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael J. Harden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael James Harden's CRS (Customer Relationship Summary).

Certified licenses

Experience

EUREKA CAPITAL MARKETS, LLC

BCC ADVISORY SERVICES, LLC

BCC ADVISORY SERVICES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/2/2007

Series 24

Date: 6/20/2007

FINRA

Current Firm

SHORELINEAMBROSE ADVISORS, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SHORELINEAMBROSE ADVISORS, LLC

TRUST BUT VERIFY

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