Michael N. Shingleton
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 Norman Shingleton, who also goes by Mike Shingleton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 15 firms and has passed the Series 63, Series 3, Series 7 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
September 26, 2006 - May 8, 2007
CAROLINA CAPITAL MARKETS, INC.
August 8, 2003 - April 22, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
January 15, 2002 - May 19, 2003
AMHERST SECURITIES GROUP, L.P.
August 11, 2000 - November 5, 2000
WINTRADE, INC.
June 24, 1998 - October 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 28, 1996 - September 1, 1998
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
May 8, 1992 - July 1, 1996
GREAT BAY SECURITIES, INC.
September 29, 1989 - February 26, 1992
MMAR GROUP, INC.
July 29, 1985 - December 8, 1989
ROBERT THOMAS SECURITIES, INC
May 3, 1985 - July 19, 1985
S. D. COHN & CO.
November 25, 1983 - April 15, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
May 28, 1981 - December 9, 1982
EMPIRE NATIONAL SECURITIES, INCORPORATED
September 13, 1978 - June 1, 1981
LEHMAN BROTHERS INC.
April 10, 1978 - August 29, 1978
UMIC, INC.
January 3, 1977 - January 19, 1978
MARCUS, STOWELL & BEYE, INC.
July 26, 1976 - February 12, 1977
HEFREN-TILLOTSON, 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
Current Firm
CAROLINA CAPITAL MARKETS, INC.
CRD#: 38156 / SEC#: , 8-48095
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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