Michael C. Prince
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.
Michael C Prince was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 4 firms and has passed the Series 63 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
October 6, 2010 - July 31, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
January 9, 2006 - October 6, 2010
WESTROCK ADVISORS, INC.
June 1, 2005 - September 30, 2005
SALOMON GREY FINANCIAL CORPORATION
March 14, 2005 - March 17, 2005
LH ROSS & COMPANY, INC.
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
Current Firm
CAPITOL SECURITIES & ASSOCIATES, INC.
CRD#: 7278 / SEC#: , 8-21058
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
