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Michael B. Turner

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CRD#: 852773
MT

Professional summary

Michael Byron Turner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Michael had worked at 9 firms, which includes HAMPTON-PORTER INVESTMENT BANKERS A CALIFORNIA LLC, FINANCIAL WEST GROUP, SENTRA SECURITIES CORPORATION, MORGAN STANLEY DW INC., THOMSON MCKINNON SECURITIES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Turner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 19, 1998 - August 13, 1998

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

BD
CRD#: 42949
SAN DIEGO, CA
Past

November 27, 1996 - February 20, 1998

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

July 20, 1994 - November 11, 1996

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

July 21, 1989 - July 20, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 4, 1986 - August 1, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

June 14, 1982 - January 31, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 6, 1981 - July 14, 1982

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

June 20, 1979 - March 13, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

June 1, 1978 - April 24, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1978
General Securities Representative Examination

Current Firm

HI
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC | JANDA, PHILLIPS & GARRINGTON, LLC | JANDA & GARRINGTON, LLC

CRD#: 42949 / SEC#: , 8-50105

BD
Terminated by SEC on 07/20/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/07/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HP HOLDINGS, LLCOWNER
GREEN, JAMES DALE JRC.O.O., CROP, SROP2124467
MCCLURE, DANIEL JOSEPHC.F.O.
WALKER, GREGORY DUBOISPRESIDENT2048725

Disclosures

Regulatory Event4
Arbitration7

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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Company Information

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC

CRD#: 42949

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