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Michael Joseph Mcquiston

CRD# 6000743·Registered 2011 - 2018
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Joseph Mcquiston, who also goes by Mike Mcquiston, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2011 - 2018. Michael had worked at 2 firms and has passed the SIE, Series 22 and Series 39 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Mcquiston

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

15 years in the financial services industry

Current & Past Employments

HUFFMAN PRAIRIE CAPITAL, LLC·CRD# 162685
BD
Miamisburg, OH
June 14, 2013 - September 4, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC·CRD# 25440
BD
Miamisburg, OH
November 22, 2011 - January 6, 2016

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Current Firm

HP
HUFFMAN PRAIRIE CAPITAL, LLC

HUFFMAN PRAIRIE CAPITAL LLC | HUFFMAN PRAIRIE CAPITAL, LLC

CRD#: 162685 / SEC#: 8-69060
BD
Terminated by SEC on 11/03/2018

Contact Information

Established

Ohio since 08/29/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
THE CONNOR GROUP, A REAL ESTATE INVESTMENT FIRM, LLCOWNER—
HOLZAPFEL, ROBERT BRYANCFO, MANAGER6040656
MCQUISTON, MICHAEL JOSEPHCEO, COO, CLO, CCO, MANAGER6000743

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Sep 2018About the SIE exam

Series 22 — Direct Participation Programs Representative Examination

Passed Nov 2011About the Series 22 exam

Series 39 — Direct Participation Programs Principal Examination

Passed Dec 2011About the Series 39 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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