Michael A. Ciabocchi
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 Anthony Ciabocchi was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - November 28, 2018
CREWS & ASSOCIATES, INC.
February 25, 2008 - November 25, 2008
FINACORP SECURITIES
February 27, 2001 - February 1, 2008
BOK FINANCIAL SECURITIES, INC.
August 22, 2000 - November 29, 2001
FINACORP SECURITIES
March 2, 1998 - July 31, 2000
RBC CAPITAL MARKETS, LLC
February 27, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 20, 1995 - January 23, 1998
MORGAN KEEGAN & COMPANY, LLC
September 28, 1993 - September 29, 1994
CREDIT SUISSE SECURITIES (USA) LLC
May 26, 1989 - September 23, 1993
J.P. MORGAN SECURITIES LLC
November 30, 1988 - March 27, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 1987 - March 1, 1991
MERRILL LYNCH GOVERNMENT SECURITIES INC.
January 19, 1980 - May 18, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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
Current Firm
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
