Michael Harrison
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 Harrison was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 5 firms and has passed the Series 63, SIE 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
May 7, 2013 - April 9, 2019
PNC FIG ADVISORY, INC.
August 21, 2007 - April 16, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 13, 2004 - August 21, 2007
RYAN BECK & CO.
March 7, 2003 - December 17, 2004
RBC CAPITAL MARKETS, LLC
March 27, 2002 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PNC FIG ADVISORY, INC.
CRD#: 143093 / SEC#: , 8-67525
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
