Michael Kavanagh
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 Kavanagh was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1975. Michael had worked at 23 firms and has passed the Series 63, SIE, Series 5 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
March 24, 2014 - February 6, 2018
DAWSON JAMES SECURITIES, INC.
June 13, 2011 - March 31, 2014
BRILL SECURITIES, INC.
October 28, 2010 - June 13, 2011
GLOBAL ARENA CAPITAL CORP
October 19, 2009 - October 28, 2010
NORTHEAST SECURITIES, LLC
February 5, 2009 - October 20, 2009
SAXONY SECURITIES, INC.
May 2, 2008 - January 20, 2009
CHICAGO INVESTMENT GROUP, LLC
November 13, 2000 - April 30, 2008
PETERSEN INVESTMENTS, INC.
August 28, 1999 - December 14, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
January 28, 1998 - September 17, 1999
WEATHERLY SECURITIES CORPORATION
January 20, 1997 - January 20, 1998
PRIME CHARTER LTD.
September 14, 1992 - January 15, 1997
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1991 - September 11, 1992
UBS FINANCIAL SERVICES INC.
September 11, 1989 - January 1, 1991
ROTAN MOSLE INC.
August 25, 1989 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
December 11, 1987 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 29, 1985 - November 25, 1987
CIBC WORLD MARKETS CORP.
October 3, 1984 - March 22, 1985
MOSELEY SECURITIES CORPORATION
April 27, 1983 - October 4, 1984
FINANCIAL SQUARE PARTNERS
April 1, 1982 - April 29, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
February 22, 1978 - February 23, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 17, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
November 20, 1975 - August 15, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 9/29/1982
Interest Rate Options ExaminationCurrent Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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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