Michele L. Ormont
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.
Michele Lori Ormont, who also goes by Michele Lori Weiss, Michele Weiss, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 2008. Michele had worked at 5 firms and has passed the Series 65, Series 7TO, 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
March 24, 2015 - November 19, 2020
SANTA BARBARA ASSET MANAGEMENT, LLC
September 24, 2014 - March 24, 2015
NUVEEN ASSET MANAGEMENT, LLC
September 24, 2014 - November 19, 2020
NUVEEN SECURITIES, LLC
January 22, 2014 - August 29, 2014
JANUS HENDERSON DISTRIBUTORS US LLC
September 1, 2011 - January 6, 2014
NUVEEN ASSET MANAGEMENT, LLC
April 30, 2010 - January 6, 2014
NUVEEN SECURITIES, LLC
March 31, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 5/23/2023
General Securities Representative ExaminationCurrent Firm
SANTA BARBARA ASSET MANAGEMENT, LLC
CRD#: 138123 / SEC#: 801-65003
Contact information
Red Flags
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