Michael Zucker
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 Zucker was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 2, Series 4 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
July 5, 2007 - January 29, 2024
REGAL SECURITIES, INC.
January 2, 1997 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
December 6, 1993 - December 31, 1996
FIRST MONTAUK SECURITIES CORP.
January 11, 1993 - December 2, 1993
SENTRA SECURITIES CORPORATION
December 14, 1992 - December 31, 1992
BROOKSTREET SECURITIES CORPORATION
November 27, 1990 - October 22, 1992
BROOKSTREET SECURITIES CORPORATION
June 8, 1983 - November 2, 1990
LEHMAN BROTHERS INC.
February 26, 1980 - June 3, 1983
LPL FINANCIAL LLC
June 28, 1978 - January 31, 1980
PELORUS SECURITIES, INC.
June 1, 1977 - July 6, 1978
INVESTORS FINANCIAL SERVICES, INC.
December 8, 1976 - August 1, 1977
FIRST WILSHIRE SECURITIES, INC.
April 23, 1975 - February 6, 1977
LETTERMAN TRANSACTION SERVICES, INC.
December 3, 1974 - May 8, 1975
DEUTSCHE IXE, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/25/1974
Registered Representative ExaminationSeries 2
Date: 10/7/1968
Non-Member General Securities ExaminationCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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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