Michael T. Sherzan
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 Thomas Sherzan, who also goes by Mike Sherzan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 27 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
July 5, 2002 - March 10, 2003
LEADER EQUITIES, INC.
December 3, 1999 - November 1, 2018
INVESTMENT ADVISORS CORP
November 27, 1991 - January 2, 2019
BROKER DEALER FINANCIAL SERVICES CORP.
April 30, 1987 - December 31, 1991
DICKINSON & CO.
December 5, 1985 - March 5, 1987
A. G. EDWARDS & SONS, INC.
October 10, 1985 - December 9, 1985
SOURCE SECURITIES, INC.
October 12, 1981 - August 12, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 1978 - September 25, 1981
DAIN RAUSCHER INCORPORATED
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
LEADER EQUITIES, INC.
CRD#: 33465 / SEC#: , 8-46420
Contact information
Documents
Red Flags
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