Michael P. Carniol
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 Philip Carniol, who also goes by Michael Carniol, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 3 firms and has passed the Series 63, Series 55 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
September 28, 2005 - July 2, 2012
OTA LLC
September 15, 2004 - January 24, 2007
OPTIONS TRADING ASSOCIATES LLC
March 4, 2004 - September 15, 2004
OTA LLC
October 29, 2002 - February 20, 2004
CIBC WORLD MARKETS CORP.
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: 10/3/2005
Limited Representative-Equity Trader ExamCurrent Firm
OTA LLC
CRD#: 25816 / SEC#: , 8-43168
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
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.
