Jose M. Michan
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.
Jose M Michan, who also goes by Jose Manuel Michan, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2003. Jose had worked at 4 firms and has passed the Series 65, Series 66, Series 57TO, Series 7TO, SIE, 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
February 18, 2022 - October 27, 2025
TARIFA CAPITAL LLC
July 22, 2009 - January 19, 2022
GOLDMAN SACHS & CO. LLC
December 6, 2004 - July 22, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 6, 2004 - July 22, 2009
CREDIT SUISSE SECURITIES (USA) LLC
October 24, 2003 - August 2, 2004
GARBAN CAPITAL MARKETS LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 10/28/2022
General Securities Representative ExaminationSeries 55
Date: 11/30/2009
Limited Representative-Equity Trader ExamCurrent Firm
TARIFA CAPITAL LLC
CRD#: 318600 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 1,060,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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