Michael B. Flood
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 Bret Flood, who also goes by Bret Flood, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2011. Michael had worked at 3 firms and has passed the Series 63, SIE 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
Experience
October 9, 2015 - June 8, 2023
FALCON SQUARE CAPITAL, LLC
November 29, 2012 - March 11, 2015
B. RILEY WEALTH MANAGEMENT
January 10, 2011 - August 21, 2012
WHITAKER SECURITIES LLC
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
FALCON SQUARE CAPITAL, LLC
CRD#: 165225 / SEC#: , 8-69147
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
