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Michael K. Mcnulty

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CRD#: 703706
MM

Professional summary

Michael Kevin Mcnulty was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Michael had worked at 7 firms, which includes EKN FINANCIAL SERVICES INC., PARK SOUTH SECURITIES LLC, VFINANCE INVESTMENTS INC, SOMERSET FINANCIAL GROUP INC., WEATHERLY SECURITIES CORPORATION, CIBC WORLD MARKETS CORP., E. F. HUTTON & COMPANY INC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 10, 2003 - August 24, 2006

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
WOODBURY, NY
Past

June 4, 2003 - November 3, 2003

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

December 17, 2002 - February 12, 2003

PARK SOUTH SECURITIES, LLC

BD
CRD#: 103520
ISELIN, NJ
Past

June 14, 2002 - December 13, 2002

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

June 15, 2001 - June 14, 2002

SOMERSET FINANCIAL GROUP, INC.

BD
CRD#: 46507
PRINCETON, NJ
Past

August 4, 1998 - June 26, 2001

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
NEW YORK, NY
Past

July 1, 1981 - July 22, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 19, 1980 - July 14, 1981

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/8/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/12/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1980
General Securities Representative Examination

Current Firm

EF
EKN FINANCIAL SERVICES INC.
EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: , 8-53346

BD
Cancelled by SEC on 11/20/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/16/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MARGATE CAPITAL, INCPARENT COMPANY
BORGNER, RICHARD REISSCHIEF COMPLIANCE OFFICER1104666
GIUGLIANO, THOMAS MICHAELDIRECTOR2804591
OTTIMO, ANTHONY SRCHAIRMAN & DIRECTOR2974369

Disclosures

Regulatory Event18
Arbitration10
Judgment/Lien1

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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Company Information

EKN FINANCIAL SERVICES INC.

CRD#: 113525

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