Michael C. Dorbandt
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 Christian Dorbandt was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 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
March 10, 2016 - June 3, 2016
MARV CAPITAL INC.
June 13, 2012 - April 15, 2014
CAPIS
January 23, 1997 - April 5, 2012
CANTOR FITZGERALD & CO.
March 18, 1996 - August 23, 1996
PENSON FINANCIAL SERVICES, INC.
January 28, 1995 - December 18, 1995
UBS FINANCIAL SERVICES INC.
November 12, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 12, 1990 - October 19, 1993
J.P. MORGAN SECURITIES LLC
February 15, 1988 - December 13, 1990
LEHMAN BROTHERS INC.
October 24, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 29, 1983 - November 3, 1986
PRUDENTIAL EQUITY GROUP, LLC
November 25, 1981 - March 28, 1983
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 19, 1979 - November 6, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 15
Date: 11/13/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1981
Interest Rate Options ExaminationSeries 8
Date: 6/22/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MARV CAPITAL INC.
CRD#: 104390 / SEC#: , 8-52855
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
