Michael D. Delaney
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 Dennis Delaney was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1970. Michael had worked at 16 firms and has passed the Series 63, Series 79, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2011 - July 27, 2012
GAR WOOD SECURITIES, LLC
July 29, 2008 - February 13, 2009
FOX RIVER EXECUTION TECHNOLOGY, LLC
July 11, 2007 - July 1, 2008
CAPSTONE INVESTMENTS
June 28, 2001 - May 18, 2007
CREDIT SUISSE SECURITIES (USA) LLC
September 4, 1998 - June 29, 2001
SANDERS MORRIS LLC
October 10, 1996 - July 31, 1998
BMO CAPITAL MARKETS CORP.
January 12, 1995 - August 23, 1996
RODMAN & RENSHAW INC.
November 3, 1989 - January 19, 1995
TUCKER ANTHONY INCORPORATED
June 7, 1983 - October 17, 1989
MONTGOMERY SECURITIES
February 27, 1980 - June 2, 1983
MORGAN STANLEY & CO. LLC
January 27, 1978 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
April 3, 1975 - January 16, 1978
KUHN LOEB & CO. INCORPORATED
April 3, 1975 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
January 11, 1972 - February 21, 1975
REYNOLDS SECURITIES, INC.
November 15, 1971 - December 22, 1971
WOOLARD & COMPANY INCORPORATED
June 3, 1970 - December 3, 1971
CUTLER, YANTIS & CO.
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
PC
Date: 2/22/1978
AMEX Put and Call ExamSeries 1
Date: 5/22/1970
Registered Representative ExaminationSeries 8
Date: 10/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
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.
