Michael James Ahern
Professional Summary
Michael James Ahern is a registered financial advisor currently at LAIDLAW & COMPANY (UK) LTD. located in Boca Raton, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
LAIDLAW & COMPANY (UK) LTD. | SANDS BROTHERS INTERNATIONAL LTD.
Contact Information
Main Address
16 Berkeley St. Suite 7.09, London, W1J 8DZMailing Address
521 5th Avenue 12th Fl, New York, NY 10175Phone Number
(212) 697-5200Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
10Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(10/16/2012)
(10/16/2012)
(6/28/2011)
(6/28/2011)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(2/7/2012)
(6/28/2011)
(4/11/2012)
(6/28/2011)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(10/16/2012)
(6/28/2011)
(6/28/2011)
(6/28/2011)
(10/16/2012)
(5/31/2012)
(2/22/2012)
(10/16/2012)
(2/22/2012)
(10/16/2012)
(10/16/2012)
(10/28/2010)
(1/26/2016)
(6/29/2011)
(6/28/2011)
(5/29/2012)
(6/28/2011)
(10/16/2012)
(11/6/2024)
(5/5/2023)
(6/28/2011)
(10/16/2012)
(6/28/2011)
(6/28/2011)
(10/16/2012)
(6/28/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael James Ahern's CRS (Customer Relationship Summary).
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