Michael Abraham
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 Abraham 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, Series 7TO, 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
December 5, 2019 - May 10, 2021
ARCOLA SECURITIES, INC.
May 12, 2015 - January 8, 2018
APOLLO GLOBAL SECURITIES, LLC
October 3, 2011 - April 23, 2015
DEUTSCHE BANK SECURITIES INC.
April 28, 2009 - September 6, 2011
CREDIT SUISSE SECURITIES (USA) LLC
April 12, 2004 - June 3, 2005
J.P. MORGAN SECURITIES INC.
December 13, 2002 - April 13, 2004
CHASE INVESTMENT SERVICES 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 7TO
Date: 6/30/2022
General Securities Representative ExaminationCurrent Firm
ARCOLA SECURITIES, INC.
CRD#: 147952 / SEC#: , 8-67940
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
Red Flags
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