Mihai Szabo
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.
Mihai Szabo, who also goes by Michael Szabo, was a registered financial professional .
Mihai is a previously registered financial professional and started their career in finance in 2004. Mihai had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 28 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2013 - September 12, 2025
MBS SOURCE ETRADING, INC.
July 6, 2011 - July 23, 2015
RIDGEWAY & CONGER, INC.
January 23, 2006 - July 20, 2011
FSIC
March 1, 2004 - March 7, 2006
JENCKS & COMPANY 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/19/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MBS SOURCE ETRADING, INC.
CRD#: 164958 / SEC#: , 8-69123
Contact information
Documents
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.
