Michael K. Compton
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 Knox Compton SR, who also goes by Michael Knox Compton, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 7 firms and has passed the Series 63, Series 27, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 1988 - July 18, 1990
APPLE SECURITIES, INC.
December 7, 1987 - July 7, 1988
POWELL & SATTERFIELD, INC.
July 9, 1985 - September 9, 1987
SAL CLEARING CORPORATION
November 25, 1983 - November 19, 1984
COLLINS SECURITIES CORPORATION
December 5, 1980 - December 1, 1986
HANCOCK, JOSEPH & DANIELS, INC.
August 11, 1978 - July 22, 1987
SALLIE & COMPANY, INC.
July 1, 1977 - August 25, 1978
PARHAM & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 6/26/1977
Financial Principal ExaminationSeries 40
Date: 6/22/1977
Registered Principal ExaminationCurrent Firm
APPLE SECURITIES, INC.
CRD#: 19799 / SEC#: , 8-37812
Contact information
Documents
Red Flags
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