Michael V. Crooks
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 Vincent Crooks was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 10, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2011 - September 25, 2012
LAMPERT CAPITAL MARKETS INC.
April 10, 2006 - October 2, 2009
DOMINICK & DICKERMAN LLC
November 3, 2000 - July 5, 2005
CREDIT SUISSE SECURITIES (USA) LLC
June 29, 1998 - January 17, 2003
PERSHING LLC
May 16, 1997 - July 6, 1998
GENERAL RE SECURITIES CORPORATION
July 6, 1992 - September 7, 1995
UBS FINANCIAL SERVICES INC.
May 13, 1991 - June 25, 1992
SALOMON BROTHERS INC.
July 21, 1986 - May 2, 1991
MORGAN STANLEY & CO. LLC
August 4, 1982 - June 27, 1986
S. B. CANTOR & CO., INC.
June 23, 1981 - June 1, 1982
ALLEN & COMPANY LLC
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
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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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