Michael J. Cortes
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 Cortes, who also goes by Michael J Cortes, Mike Cortes, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1972. Michael had worked at 11 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 15, 2003 - March 31, 2015
MSI FINANCIAL SERVICES, INC.
October 11, 2000 - May 8, 2003
NATIONAL PLANNING CORPORATION
February 24, 1998 - October 24, 2000
PRINCIPAL SECURITIES, INC.
July 17, 1990 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 17, 1990 - November 24, 1997
SIGNATOR INVESTORS, INC.
July 26, 1989 - June 13, 1990
MONY SECURITIES CORPORATION
July 25, 1989 - June 13, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 16, 1986 - February 27, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 1986 - June 13, 1986
GLOBAL CAPITAL SECURITIES, INC.
April 16, 1982 - September 7, 1982
TIMECAPITAL SECURITIES CORPORATION
November 21, 1972 - February 19, 1985
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 21, 1972 - February 19, 1985
MONY SECURITIES CORPORATION
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
Series 1
Date: 11/16/1972
Registered Representative ExaminationCurrent Firm
METROPOLITAN LIFE INSURANCE COMPANY
CRD#: 4095 / SEC#: , 8-14901
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | 100% SHAREHOLDER | |
| BARNETTE, CURTIS HANDLEY | DIRECTOR | |
| DOLE, BURTON A | DIRECTOR | |
| GRISE, CHERYL | DIRECTOR | |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER & ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HENRIKSON, CARL ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT & CHAIRMAN OF THE BOARD | 243239 |
| HOLTZER, DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 4345697 |
| HOUGHTON, JAMES RICHARDSON | DIRECTOR | |
| JOURNY, TIMOTHY LYONS | SENIOR VICE PRESIDENT AND GENERAL AUDITOR | |
| KAMEN, HARRY PAUL | DIRECTOR | 1545937 |
| KANDARIAN, STEVEN ALBERT | EXECUTIVE VICE PRESIDENT & CIO | |
| KAPLAN, HELENE L | DIRECTOR | |
| KEANE, JOHN M. | DIRECTOR | |
| KILTS, JAMES | DIRECTOR | |
| LEIGHTON, CHARLES | DIRECTOR | |
| LIPSCOMB, JAMES LOUIS | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | |
| MATHEWS, SYLVIA | DIRECTOR | |
| MULLANEY, WILLIAM JOSEPH | PRESIDENT, INSTITUTIONAL BUSINESS | 2641484 |
| PRICE, HUGH BERNARD | DIRECTOR | |
| REIN, CATHERINE AMELIA | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2605134 |
| SICCHITANO, KENTON JOSEPH | DIRECTOR | |
| STEERE, WILLIAM CAMPBELL | DIRECTOR | |
| TOPPETA, WILLIAM JOHN | PRESIDENT, INTERNATIONAL | 2835140 |
| VIETRI, MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT | 1068983 |
| WEBER, LISA M | PRESIDENT, INDIVIDUAL BUSINESS | |
| WHEELER, WILLIAM JAMES | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 1208521 |
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
