Michael A. Kazee
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 Anthony Kazee, who also goes by Michael A Kazee, 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 63, Series 7, Series 6 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
September 5, 2012 - May 31, 2013
G - W BROKERAGE GROUP, INC.
December 2, 2010 - July 3, 2012
W R RICE FINANCIAL SERVICES, INC.
June 22, 2010 - November 24, 2010
GROVE POINT INVESTMENTS, LLC
June 10, 2009 - December 23, 2009
CHELSEA FINANCIAL SERVICES
October 7, 2008 - May 15, 2009
SIGNATOR INVESTORS, 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
G - W BROKERAGE GROUP, INC.
CRD#: 22691 / SEC#: , 8-39922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| G-W FINANCIAL GROUP, INC. | SHAREHOLDER | |
| WOOTERS, EDWARD JOSEPH | PRESIDENT/CCO | 1405652 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 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.
