Michael H. Waldner
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 Howard Waldner was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1973. Michael had worked at 6 firms and has passed the Series 63, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2012 - March 22, 2013
LAMPERT CAPITAL MARKETS INC.
April 30, 2008 - September 1, 2010
DOMESTIC SECURITIES, INC.
January 6, 2003 - July 30, 2004
HUDSON SECURITIES,INC.
August 22, 1997 - January 30, 2003
UBS CAPITAL MARKETS L.P.
August 8, 1996 - August 22, 1997
GRUNTAL & CO., L.L.C.
January 2, 1996 - August 7, 1996
JOSEPHTHAL & CO., INC.
October 24, 1973 - January 3, 1996
UBS CAPITAL MARKETS L.P.
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 55
Date: 6/3/2008
Limited Representative-Equity Trader ExamSeries 1
Date: 10/18/1973
Registered Representative ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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