Michael D. Sposato
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 Degnan Sposato, who also goes by Michael D Sposato, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 11 firms and has passed the Series 63, Series 7, Series 15 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1996 - March 26, 1997
CHATFIELD DEAN & CO., INC.
August 6, 1996 - October 28, 1996
LT LAWRENCE & CO., INC.
January 21, 1996 - July 10, 1997
MONITOR INVESTMENT GROUP, INC.
May 17, 1995 - February 9, 1996
RICKEL & ASSOCIATES, INC.
February 22, 1993 - May 2, 1995
BLUESTONE CAPITAL CORP.
February 10, 1987 - April 27, 1989
MORGAN STANLEY DW INC.
October 19, 1984 - February 27, 1987
UBS FINANCIAL SERVICES INC.
October 11, 1982 - October 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1978 - November 16, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1977 - August 29, 1978
SHEARSON HAYDEN STONE INC.
January 29, 1970 - January 20, 1977
E. F. HUTTON & COMPANY 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
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 1
Date: 9/6/1968
Registered Representative ExaminationCurrent Firm
CHATFIELD DEAN & CO., INC.
CRD#: 14714 / SEC#: , 8-31004
Contact information
Documents
Red Flags
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