Michelle-lee Rabinowitz
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.
Michelle-lee Rabinowitz, who also goes by Michelle-lee Cona, was a registered financial professional .
Michelle-lee is a previously registered financial professional and started their career in finance in 2003. Michelle-lee had worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2021 - November 13, 2023
CRC-IB
January 7, 2020 - March 24, 2021
MAXIM GROUP LLC
July 2, 2016 - January 10, 2018
MAXIM GROUP LLC
July 10, 2006 - January 16, 2015
MAXIM GROUP LLC
August 26, 2004 - July 5, 2006
WESTPARK CAPITAL, INC.
November 12, 2003 - August 25, 2004
J.P. TURNER & COMPANY, L.L.C.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/18/2009
Limited Representative-Equity Trader ExamCurrent Firm
CRC-IB
CRD#: 158736 / SEC#: , 8-68918
Contact information
FINRA licenses (36 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRC HOLDINGCO, LLC | HOLDING COMPANY/OWNER | |
| KNAPP, NICHOLAS JE | PRESIDENT | 5419499 |
| MCKENNA, CONOR WILLIAM | SENIOR MANAGING DIRECTOR | 4355571 |
| DURDEN, GARY LEE | MANAGING DIRECTOR | 6624221 |
| VON OESEN, BRITTA BENNETT | MANAGING DIRECTOR | 5532329 |
| DURDEN, GARY LEE | CHIEF COMPLIANCE OFFICER | 6624221 |
| HOPKINS, THOMAS JOHN | FINOP, PPO, PFO | 1835087 |
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.
