A S. Michael
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.
A S Michael, who also goes by Scott Christopher Michael, Scotty Michael, was a registered financial professional .
A is a previously registered financial professional and started their career in finance in 2004. A had worked at 2 firms and has passed the Series 66 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
June 8, 2006 - December 17, 2012
BEACON ASSET MANAGEMENT INC.
October 19, 2004 - October 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 2004 - October 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BEACON ASSET MANAGEMENT INC.
CRD#: 131794 / 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.
