Michael J. Smiggen
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 Smiggen was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 3 firms and has passed the Series 63, Series 7 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
June 13, 2012 - February 19, 2013
WILLIAM AND HENRY ASSOCIATES
April 11, 2011 - June 22, 2012
INNOVATION CAPITAL, LLC
January 11, 2010 - April 11, 2011
GREENE HOLCOMB & FISHER LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WILLIAM AND HENRY ASSOCIATES
CRD#: 154566 / SEC#: , 8-68649
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
