Michael K. Hsu
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 Kingman Hsu, who also goes by Michael K Hsu, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 12 firms and has passed the Series 63, 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
May 11, 1998 - March 1, 2000
DIRKS & COMPANY, INC.
March 12, 1998 - April 23, 1998
NATIONAL SECURITIES CORPORATION
January 26, 1998 - March 6, 1998
NATIONAL SECURITIES CORPORATION
December 16, 1995 - December 31, 1997
NATIONAL SECURITIES CORPORATION
December 15, 1994 - November 28, 1995
COLEMAN & COMPANY SECURITIES, INC.
May 22, 1992 - November 1, 1994
FAB SECURITIES OF AMERICA, INC.
December 11, 1991 - May 12, 1992
D. BLECH & COMPANY, INCORPORATED
March 6, 1991 - April 24, 1991
DICKINSON & CO.
April 3, 1989 - December 18, 1990
SWARTWOOD, HESSE INC.
January 8, 1988 - March 1, 1989
J. T. MORAN & CO., INC.
January 28, 1985 - September 4, 1985
SWARTWOOD, HESSE INC.
March 30, 1984 - June 12, 1987
BUCKINGHAM SECURITIES, LTD.
January 3, 1983 - March 27, 1984
ROONEY, PACE INC.
May 17, 1982 - December 27, 1982
MARSAN SECURITIES CO., INC.
December 10, 1981 - May 14, 1982
ROONEY, PACE INC.
August 25, 1978 - September 14, 1981
JOHN MUIR & CO.
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
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
