Michael S. Wittenberg

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CRD#: 4318458

Professional summary

Michael Scott Wittenberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Michael had worked at 12 firms, which includes EKN FINANCIAL SERVICES INC., PHD CAPITAL, AURA FINANCIAL SERVICES INC., WOODSTOCK FINANCIAL GROUP INC., FIRST MIDWEST SECURITIES INC., GUNNALLEN FINANCIAL INC, J.P. TURNER & COMPANY L.L.C., WESTROCK ADVISORS INC., WINDHAM SECURITIES INC., MILESTONE GROUP MANAGEMENT LLC, BRUNDYN SECURITIES INC., NORTH AMERICAN CLEARING INC..

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.

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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

September 23, 2009 - October 14, 2009

EKN FINANCIAL SERVICES INC.

CRD#: 113525

WOODBURY, NY

Past

July 24, 2009 - September 29, 2009

PHD CAPITAL

CRD#: 38785

NEW YORK, NY

Past

July 14, 2009 - July 24, 2009

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

January 2, 2009 - July 15, 2009

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

FARMINGDALE, NY

Past

April 11, 2008 - January 30, 2009

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

FARMINGDALE, NY

Past

February 8, 2008 - April 21, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

FARMINGDALE, NY

Past

March 21, 2006 - January 22, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

WESTBURY, NY

Past

September 19, 2005 - October 10, 2005

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

July 27, 2005 - September 21, 2005

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

January 19, 2005 - April 29, 2005

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

November 23, 2004 - January 11, 2005

WINDHAM SECURITIES, INC.

CRD#: 20529

NEW YORK, NY

Past

November 16, 2004 - November 29, 2004

MILESTONE GROUP MANAGEMENT LLC

CRD#: 44486

LAKE SUCCESS, NY

Past

October 1, 2004 - November 16, 2004

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

August 13, 2004 - October 28, 2004

BRUNDYN SECURITIES INC.

CRD#: 124493

ARLINGTON, TX

Past

April 27, 2004 - August 11, 2004

NORTH AMERICAN CLEARING, INC.

CRD#: 39118

LONGWOOD, FL

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

Series 63

Date: 5/3/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/2004

General Securities Representative Examination

Current Firm

EKN FINANCIAL SERVICES INC.

EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: , 8-53346

Cancelled by SEC on 11/20/2013

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 01/16/2001

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MARGATE CAPITAL, INC	PARENT COMPANY
BORGNER, RICHARD REISS	CHIEF COMPLIANCE OFFICER	1104666
GIUGLIANO, THOMAS MICHAEL	DIRECTOR	2804591
OTTIMO, ANTHONY SR	CHAIRMAN & DIRECTOR	2974369

Disclosures

Regulatory Event	18
Arbitration	10
Judgment/Lien	1

Red Flags

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Firm Stability Insights

Michael S. Wittenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHD CAPITAL

AURA FINANCIAL SERVICES, INC.

WOODSTOCK FINANCIAL GROUP, INC.

FIRST MIDWEST SECURITIES, INC.

GUNNALLEN FINANCIAL, INC

J.P. TURNER & COMPANY, L.L.C.

EKN FINANCIAL SERVICES INC.

J.P. TURNER & COMPANY, L.L.C.

WESTROCK ADVISORS, INC.

WINDHAM SECURITIES, INC.

MILESTONE GROUP MANAGEMENT LLC

WESTROCK ADVISORS, INC.

BRUNDYN SECURITIES INC.

NORTH AMERICAN CLEARING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2004

Series 7

Date: 4/26/2004

Current Firm

EKN FINANCIAL SERVICES INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EKN FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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