Michael E. Carbone
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 Edward Carbone was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2004 - November 22, 2004
INDEPENDENT SECURITIES INVESTORS CORPORATION
June 18, 2004 - August 20, 2004
WESTPARK CAPITAL, INC.
May 4, 2004 - July 12, 2004
FINANCIAL WORLD CORPORATION
March 24, 2003 - May 20, 2004
NATIONAL SECURITIES CORPORATION
October 1, 2002 - March 25, 2003
GUNNALLEN FINANCIAL, INC
January 15, 2002 - October 1, 2002
FLORIDA DISCOUNT SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INDEPENDENT SECURITIES INVESTORS CORPORATION
CRD#: 43598 / SEC#: , 8-50352
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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