Michael J. Fahey
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 Joseph Fahey, who also goes by Michael J Fahey, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 10, Series 9 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
April 29, 2008 - September 16, 2019
BRIGHTON SECURITIES CORP.
July 10, 2006 - April 11, 2008
HSBC SECURITIES (USA) INC.
January 1, 2005 - April 11, 2008
HSBC SECURITIES (USA) INC.
March 17, 1997 - January 1, 2005
HSBC BROKERAGE (USA) INC.
December 24, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
August 10, 1990 - February 24, 1997
CITICORP INVESTMENT SERVICES
March 20, 1989 - August 16, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
August 30, 1984 - January 20, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
December 1, 1978 - September 5, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
December 1, 1978 - September 5, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 1978 - September 5, 1984
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
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 1
Date: 11/20/1978
Registered Representative ExaminationCurrent Firm
BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
