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Michael R. Uffman

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CRD#: 4619446
MU

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 Ryan Uffman was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 11, 2012 - November 30, 2012

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW ORLEANS, LA
Past

June 14, 2007 - April 23, 2010

COWEN SECURITIES LLC

BD
CRD#: 23510
NEW ORLEANS, LA
Past

June 4, 2003 - May 29, 2007

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
NEW ORLEANS, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/2003
General Securities Representative Examination

Current Firm

GH
GLOBAL HUNTER SECURITIES, LLC
EVELOCITY | VELOCITY TRADING, LLC (EVELOCITY) | VELOCITY TRADING | THE SEAPORT GROUP | SEAPORT GLOBAL HOLDINGS | INTERNATIONAL MADISON INVESTMENT | GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003 / SEC#: , 8-65552

BD
Terminated by SEC on 07/03/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/14/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS, LLCPARENT COMPANY
CONWILL, DANIEL OZA IVCHAIRMAN, CEO1714135
JOHNSON, MARY SAUNDERSCFO5680544
LAINFIESTA, EDWARD ROBERTPRESIDENT1139496
MERINGER, GARY EGENERAL COUNSEL, COO2179687
ZACK, DAVIDCCO2356042

Disclosures

Regulatory Event3

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.

Company Information

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

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