Michael J. Hartigan
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 Joseph Hartigan was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 2006. Michael had worked at 4 firms and has passed the Series 66, Series 31, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2009 - April 1, 2011
OPTIONSHOUSE1, LLC
November 13, 2007 - February 20, 2009
MSI FINANCIAL SERVICES, INC.
April 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 24, 2007
MORGAN STANLEY & CO. LLC
October 5, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
September 27, 2006 - April 2, 2007
MORGAN STANLEY DW 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
OPTIONSHOUSE1, LLC
CRD#: 135625 / SEC#: , 8-66936
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| 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.
