Michelle N. Persad
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.
Michelle No Middle Name Persad, who also goes by Michelle Persad, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2009. Michelle had worked at 1 firm and has passed the Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2009 - July 24, 2013
UTC FINANCIAL SERVICES USA, 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
Series 28
Date: 10/22/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
UTC FINANCIAL SERVICES USA, INC.
CRD#: 119529 / SEC#: , 8-65202
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTC FUND SERVICES, INC. | STOCKHOLDER | |
| ALVAREZ, ENRIQUE | FINANCIAL OPERATIONS PRINCIPAL | 4622342 |
| DANIEL-WORRELL, GAYLE CIRILLA | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4008442 |
| HOLFORD-JACK, BEVERLY-ANN | DIRECTOR | 5652729 |
| RODRIGUEZ, CRYSTAL ALICIA | DIRECTOR | 5630271 |
| WILLIAMS, ALDON PHILIP | DIRECTOR AND PRINCIPAL | 5195839 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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