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Michael Szafranski

CRD# 4352933·Registered 2001 - 2008
Barred: Michael Szafranski was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael Szafranski was a registered financial advisor. Michael was a previously registered financial advisor and started their career in finance 2001 - 2008. Michael had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

ONYX OPTIONS CONSULTANTS CORP.·CRD# 126591
RIA
Bay Harbor, FL
June 18, 2003 - December 31, 2008
SAPPHIRE CAPITAL MANAGEMENT CORP·CRD# 126591
RIA
Bal Harbour, FL
June 18, 2003 - December 31, 2010
SOCHET & COMPANY, INC.·CRD# 17705
BD
Miami, FL
January 8, 2003 - February 20, 2007
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
March 20, 2001 - May 17, 2001

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Current Firm

No current employment

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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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 2001About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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