Michael C. Elder
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 Carl Elder, who also goes by Mike Elder, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 6 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1997 - December 31, 2000
SANTA FE SECURITIES CORP.
May 12, 1993 - December 31, 1995
G. R. PHELPS & CO., INC.
May 18, 1983 - June 16, 1983
TBA FINANCIAL CORPORATION
May 9, 1983 - February 14, 1991
ELDER-NELSON EQUITIES CORPORATION
January 1, 1974 - March 2, 1983
CINCINNATI ANALYSTS, INC.
August 3, 1971 - January 19, 1974
C. A. MANAGEMENT CORPORATION
January 22, 1971 - January 15, 1972
CINCINNATI ANALYSTS, INC.
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 1
Date: 1/18/1971
Registered Representative ExaminationCurrent Firm
SANTA FE SECURITIES CORP.
CRD#: 31491 / SEC#: , 8-45482
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
