Michael M. Boardman
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 Mather Boardman, who also goes by Michael M Boardman, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 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
June 30, 2020 - September 8, 2022
PEOPLE'S UNITED ADVISORS, INC.
June 30, 2020 - September 8, 2022
PEOPLE'S SECURITIES, INC.
December 12, 2016 - November 20, 2019
HSBC SECURITIES (USA) INC.
November 17, 2016 - November 20, 2019
HSBC SECURITIES (USA) INC.
January 2, 2014 - September 30, 2015
J.P. MORGAN CLEARING CORP.
December 17, 2013 - September 16, 2015
J.P. MORGAN SECURITIES LLC
May 27, 2010 - October 29, 2013
U.S. BANCORP INVESTMENTS, INC.
March 11, 2008 - May 30, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 5, 2002 - March 11, 2008
UST SECURITIES CORP.
February 22, 2001 - May 3, 2002
CHARLES SCHWAB & CO., 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
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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