Michael J. Filer
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 John Filer was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, 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
April 11, 2012 - August 17, 2015
JHS CAPITAL ADVISORS, LLC
April 11, 2012 - August 17, 2015
JHS CAPITAL ADVISORS, LLC
August 19, 2008 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
August 19, 2008 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
April 22, 2005 - April 27, 2007
THE CONCORD EQUITY GROUP, LLC
April 22, 2005 - August 15, 2008
THE CONCORD EQUITY GROUP, LLC
November 19, 2002 - April 26, 2005
FIRST MONTAUK SECURITIES CORP.
September 10, 2001 - November 19, 2002
CIBC WORLD MARKETS CORP.
June 7, 1994 - April 18, 1995
CIBC WORLD MARKETS CORP.
November 1, 1993 - November 19, 2002
CIBC WORLD MARKETS CORP.
January 13, 1984 - November 8, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1982 - December 20, 1983
FOSTER & MARSHALL INC.
February 23, 1981 - May 28, 1982
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: 6/7/1988
Foreign Currency Options ExaminationSeries 5
Date: 10/3/1983
Interest Rate Options ExaminationSeries 8
Date: 10/30/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JHS CAPITAL ADVISORS, LLC
CRD#: 112097 / SEC#: 801-71238, 8-53232
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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