Michael F. Thomassen
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 F Thomassen, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2008. Michael had worked at 5 firms and has passed the Series 66, SIE, Series 31 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
Start date: 2012
Experience
September 19, 2014 - April 6, 2021
HARLEY CAPITAL MANAGEMENT
October 1, 2012 - October 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - October 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2010 - February 21, 2012
MORGAN STANLEY
December 9, 2010 - February 21, 2012
MORGAN STANLEY
March 20, 2009 - December 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 16, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2008 - February 13, 2009
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
HARLEY CAPITAL MANAGEMENT
CRD#: 137680 / 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.
