Michael L. Metter
Professional summary
Michael Lee Metter was barred by the SEC 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 1981. Prior to being barred, Michael had worked at 11 firms, which includes ARJENT LTD., THE THERMOPYLAE GROUP INC., FIRST PROVIDENCE FINANCIAL GROUP LLC, TRAUTMAN WASSERMAN & COMPANY INC., FIRST CAMBRIDGE SECURITIES CORPORATION, ROYCE INVESTMENT GROUP INC., GRUNTAL & CO. L.L.C., COMMONWEALTH ASSOCIATES, PRUDENTIAL EQUITY GROUP LLC, F.N. WOLF & CO. INC., BROADCHILD SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1998 - July 26, 2001
ARJENT LTD.
November 10, 1997 - December 16, 1998
THE THERMOPYLAE GROUP, INC.
July 9, 1997 - September 30, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
June 24, 1997 - July 14, 1997
TRAUTMAN WASSERMAN & COMPANY, INC.
November 7, 1994 - May 22, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
April 3, 1991 - October 27, 1994
ROYCE INVESTMENT GROUP, INC.
October 15, 1990 - April 1, 1991
GRUNTAL & CO., L.L.C.
November 3, 1989 - November 26, 1990
COMMONWEALTH ASSOCIATES
January 22, 1988 - December 14, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 30, 1986 - February 18, 1988
F.N. WOLF & CO., INC.
April 13, 1981 - February 12, 1986
BROADCHILD SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARJENT LTD.
CRD#: 35909 / SEC#: , 8-46922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARJENT SERVICES LIMITED (UK) | OWNER | |
| DAVANZO, GEORGE | FINOP/CFO | 1866674 |
| DEPALO, ROBERT PHILIP | CHAIRMAN/CEO/SECY/CORP. DIRECTOR | 2946313 |
| DIFIORE, MONICA LISA | CCO | 2966552 |
| FALLAH, ROBERT BOBAK | CO-CHAIRMAN/PRESIDENT/DIRECTOR CORPORATE FINANCE | 1069032 |
| HEINEMAN, RONALD MARK | MANAGING DIRECTOR/CROP/SROP/MUNI PRINCIPAL | 241924 |
| SCHONWALD, GARY ALAN | TREASURER/CORPORATE DIRECTOR | 4478897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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