Michael A. Otoole
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 Allen Otoole, who also goes by Michael Allen O'toole, Michael O'toole, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 55, 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
May 13, 2016 - January 9, 2017
BARCLAY INVESTMENTS LLC
November 17, 2014 - September 28, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
January 21, 2014 - October 9, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
January 21, 2014 - October 30, 2014
AVATAR CAPITAL GROUP LLC
July 2, 2013 - December 18, 2013
HARTFIELD, TITUS & DONNELLY, LLC
September 20, 2012 - July 2, 2013
AVATAR CAPITAL GROUP LLC
October 26, 2010 - July 2, 2013
TRADITION SECURITIES AND DERIVATIVES LLC
July 26, 2010 - September 17, 2010
JAVELIN 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
Series 55
Date: 11/5/2012
Limited Representative-Equity Trader ExamCurrent Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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