Michael A. Usher
Professional summary
Michael Allen Usher was barred by both the FINRA and 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 5 firms, which includes CAPITAL SUISSE SECURITIES INC., FORTA FINANCIAL GROUP INC., AMERICAN INVESTMENT SERVICES INC., GILBERT MARSHALL & COMPANY, HANIFEN IMHOFF INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1997 - July 28, 1999
CAPITAL SUISSE SECURITIES, INC.
September 26, 1997 - October 1, 1997
FORTA FINANCIAL GROUP, INC.
July 30, 1997 - August 13, 1997
AMERICAN INVESTMENT SERVICES, INC.
April 25, 1984 - June 5, 1996
GILBERT MARSHALL & COMPANY
July 20, 1981 - January 15, 1984
HANIFEN, IMHOFF INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL SUISSE SECURITIES, INC.
CRD#: 37531 / SEC#: , 8-48015
Contact information
Documents
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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