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MH

Michael D. Haven

WESTMORELAND CAPITAL
Buffalo, NY 14202
Some features on this profile are disabled
CRD#: 5976044
MH

Professional summary

Michael David Haven is a registered financial professional currently at WESTMORELAND CAPITAL CORPORATION located in Buffalo, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 1 firm and has passed the SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael David Haven's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 26, 2013 - Present

WESTMORELAND CAPITAL CORPORATION

Office #1: 591 Delaware Avenue, Buffalo, NY 14202
BD
CRD#: 11469
Buffalo, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 11/26/2013
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WESTMORELAND CAPITAL CORPORATION
WESTMORELAND CAPITAL CORPORATION

CRD#: 11469 / SEC#: , 8-24116

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164
Mailing Address
1521 N. Cooper Street Suite 400, Arlington, TX 76011
Phone number
(682) 305-2868
Established
New York since 08/03/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
J.M. JAYSON & COMPANY, INC.OWNER
BEATON, DANIEL STEWARTFINOP4240769
IAK, MATTHEW PARKERCCO/PRESIDENT4171508

Disclosures

Regulatory Event3
Arbitration2

Red Flags

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Company Information

WESTMORELAND CAPITAL CORPORATION

CRD#: 11469Buffalo, NY 14202

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