Michael D. Rubin
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 Dylan Rubin, who also goes by Michael Rubin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2019. Michael had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2020 - February 22, 2024
COMMERCE STREET CAPITAL, LLC
March 12, 2020 - November 6, 2020
LPL FINANCIAL LLC
March 12, 2020 - November 6, 2020
LPL FINANCIAL LLC
November 4, 2019 - March 6, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2019 - March 6, 2020
WELLS FARGO CLEARING SERVICES, 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 7TO
Date: 10/14/2019
General Securities Representative ExaminationCurrent Firm
COMMERCE STREET CAPITAL, LLC
CRD#: 143797 / SEC#: , 8-67606
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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