Michael R. Claiborne
Professional summary
Michael Ray Claiborne was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Michael had worked at 14 firms, which includes STG SECURE TRADING GROUP INC., RICHMARK CAPITAL CORPORATION, M G SECURITIES GROUP INC., RIVERSTONE WEALTH MANAGEMENT INC., LLOYD WADE SECURITIES INC., PROSPERA FINANCIAL SERVICES INC., BARRE & COMPANY INCORPORATED, FIRST LONDON SECURITIES CORPORATION, EQUITY SERVICES INC., WEBER HALL SALE & ASSOCIATES INC., M. S. WIEN & CO. INC., LOEB RHOADES & CO. INC., LENTZ NEWTON & CO., BROWN ALLEN ROSE & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2003 - November 29, 2005
STG SECURE TRADING GROUP, INC.
January 3, 2002 - September 30, 2003
RICHMARK CAPITAL CORPORATION
January 7, 2000 - October 9, 2001
M G SECURITIES GROUP, INC.
November 12, 1998 - January 7, 2000
RIVERSTONE WEALTH MANAGEMENT, INC.
July 1, 1997 - October 20, 1998
LLOYD WADE SECURITIES INC.
February 1, 1996 - April 29, 1996
PROSPERA FINANCIAL SERVICES, INC.
August 2, 1994 - August 16, 1994
BARRE & COMPANY, INCORPORATED
July 28, 1992 - March 15, 1994
FIRST LONDON SECURITIES CORPORATION
October 10, 1991 - July 17, 1992
EQUITY SERVICES, INC.
February 4, 1982 - November 6, 1990
WEBER, HALL, SALE & ASSOCIATES, INC.
August 10, 1977 - June 8, 1982
M. S. WIEN & CO., INC.
April 7, 1975 - May 22, 1977
LOEB, RHOADES & CO. INC.
December 13, 1973 - April 13, 1975
LENTZ, NEWTON & CO.
April 4, 1972 - January 24, 1974
BROWN, ALLEN, ROSE & COMPANY
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 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 3/28/1972
Registered Representative ExaminationCurrent Firm
STG SECURE TRADING GROUP, INC.
CRD#: 41216 / SEC#: , 8-49329
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEINER, ALAN DAVID MR. | PRESIDENT | 2537809 |
| SPG OPPORTUNITY FUND LTD | SHAREHOLDER |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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