Michael L. Going

ACCESS SECURITIES

Matthews, NC

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CRD#: 4687384

Professional summary

Michael Lee Going, who also goes by Michael L Going, Csna, Michael L Going, Mike Going, Michael Going, Caia, is a registered financial professional currently at ACCESS SECURITIES, LLC located in Matthews, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael L Going, Csna | Michael L Going | Mike Going | Michael Going, Caia

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) - BD

Click below to view Michael Lee Going's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 3, 2025 - Present

ACCESS SECURITIES, LLC

CRD#: 22455

Matthews, NC

Past

November 19, 2022 - September 5, 2024

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

St. Louis, MO

Past

January 29, 2008 - February 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLAYTON, MO

Past

November 2, 2007 - February 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLAYTON, MO

Past

September 12, 2003 - November 8, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

CHESTERFIELD, MO

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/3/2025)

Arkansas
(2/3/2025)

California
(2/3/2025)

Colorado
(2/3/2025)

Connecticut
(2/3/2025)

Florida
(2/3/2025)

Georgia
(2/3/2025)

Illinois
(2/3/2025)

Maryland
(2/3/2025)

Massachusetts
(2/3/2025)

Missouri
(10/24/2025)

Montana
(2/3/2025)

Nevada
(2/3/2025)

New Jersey
(2/3/2025)

New York
(2/3/2025)

North Carolina
(2/3/2025)

Ohio
(2/3/2025)

Oklahoma
(2/3/2025)

Pennsylvania
(2/3/2025)

South Carolina
(2/3/2025)

Tennessee
(2/3/2025)

Texas
(2/3/2025)

Virginia
(2/3/2025)

Washington
(2/3/2025)

Exams

State Security Law Exam

Series 63

Date: 12/3/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/18/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/26/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/18/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/11/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ACCESS SECURITIES, LLC

ACCESS SECURITIES, INC. | ACCESS SECURITIES, LLC

CRD#: 22455 / SEC#: , 8-39729

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

140 Elm Street Suite 7, New Canaan, CT 06840

Mailing Address

140 Elm Street Suite 7, New Canaan, CT 06840

Phone number

(203) 322-3377

Established

Delaware since 05/30/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LEPERCQ DE NEUFLIZE & CO., INCORPORATED	MEMBER
CRAWFORD, SHARI JEANNE	SECRETARY (2/2024) AND CFO (01/2010), AMLCO AND GSP AND CCO	2387030
FELDMAN, RICHARD MARK	FINOP	2273453
FREMED, JOSHUA MARC	SOLE MANAGER	4985772
GOING, MICHAEL LEE	PRESIDENT/CEO, GSP	4687384

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Michael L. Going

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Lee Going's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2022

Series 66

Date: 9/18/2003

Series 7TO

Date: 11/19/2022

SIE

Date: 8/26/2022

Series 3

Date: 2/18/2010

Series 7

Date: 9/11/2003

Series 24

Date: 4/8/2025

FINRA

Current Firm

ACCESS SECURITIES, LLC

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACCESS SECURITIES, LLC

TRUST BUT VERIFY

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