Michael A. Glick
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 Aaron Glick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 4 firms and has passed the Series 65, Series 63, SIE 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 16, 2019 - April 14, 2021
CAPE POINT WEALTH & TAX MANAGEMENT
April 23, 2010 - July 1, 2019
COMMONWEALTH FINANCIAL NETWORK
April 23, 2010 - July 1, 2019
COMMONWEALTH FINANCIAL NETWORK
June 1, 2009 - May 20, 2010
MORGAN STANLEY
June 1, 2009 - May 20, 2010
MORGAN STANLEY
July 21, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 17, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
CAPE POINT WEALTH & TAX MANAGEMENT
CRD#: 305344 / SEC#:
Contact information
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.
