Michael L. Thorne
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 Louis Thorne was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2016 - July 2, 2018
THE LEADERS GROUP, INC.
January 6, 2007 - November 8, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 24, 2006 - November 8, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 5, 1984 - May 20, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 23, 1983 - October 23, 1984
OLD SLIP CAPITAL MANAGEMENT, INC.
June 18, 1982 - September 16, 1983
1717 CAPITAL MANAGEMENT COMPANY
January 28, 1975 - April 6, 1978
LINCOLN FINANCIAL DISTRIBUTORS, 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: 1/22/1975
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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