Michael A. Lorig
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 Allen Lorig was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 4 firms and has passed the Series 63, Series 55, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2003 - April 16, 2004
J.P. MORGAN CLEARING CORP.
November 8, 1979 - September 19, 2014
J.P. MORGAN SECURITIES LLC
May 3, 1975 - October 13, 1977
LOEB, RHOADES & CO. INC.
January 2, 1975 - June 19, 1975
LEHMAN BROTHERS INCORPORATED
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 55
Date: 5/29/2010
Limited Representative-Equity Trader ExamPC
Date: 6/1/1977
AMEX Put and Call ExamCurrent Firm
J.P. MORGAN CLEARING CORP.
CRD#: 28432 / SEC#: 801-61542, 8-43724
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN SECURITIES LLC | SHAREHOLDER | 79 |
| BERNSTEIN, JEFFREY CARL | DIRECTOR | 1844904 |
| BRANNAN, PAUL F | DIRECTOR | 6142593 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER AND FINOP | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| FREILICH, WILLIAM HOWARD | CHIEF LEGAL OFFICER | 2203801 |
| HEITSENRETHER, TERESA ANN | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 2722512 |
| KIRBY, PATRICK C | CHIEF OPERATING OFFICER AND DIRECTOR | 2595086 |
| LIPMAN, JEFFREY MARK | SECRETARY | 717915 |
| MCKENNA, JOHN JAMES | DIRECTOR | 2732946 |
| MINIKES, MICHAEL | DIRECTOR | 1204499 |
| PATTERSON, DAWN ANN | CHIEF COMPLIANCE OFFICER | 2862235 |
| REED, JAMIE MATTHEW | DIRECTOR | 2797383 |
Disclosures
| Regulatory Event | 38 |
| Civil Event | 1 |
| Arbitration | 28 |
Red Flags
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