Michael H. Taradash
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 Hayes Taradash was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1971. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1, Series 10, Series 9, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2009 - May 19, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - May 19, 2010
BARCLAYS CAPITAL INC.
April 9, 1999 - October 15, 2008
LEHMAN BROTHERS INC.
February 2, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
July 5, 1996 - February 4, 1999
SANFORD C. BERNSTEIN & CO., INC.
April 7, 1982 - May 2, 1996
MORGAN STANLEY & CO. LLC
April 10, 1981 - April 15, 1982
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 12, 1973 - April 13, 1981
SALOMON BROTHERS INC.
April 27, 1973 - December 27, 1973
SPENCER TRASK & CO. INCORPORATED
March 10, 1971 - May 6, 1973
FAHNESTOCK INTERNATIONAL 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
PC
Date: 11/15/1979
AMEX Put and Call ExamSeries 1
Date: 3/8/1971
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 40
Date: 12/29/1977
Registered Principal ExaminationCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 4 |
Red Flags
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.
