Michele B. Harrington
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.
Michele Beach Harrington, who also goes by Michele Claire Beach, Michele Beach, Shelly Beach, Michele B Harrington, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1979. Michele had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - March 21, 2024
IMPERIAL CAPITAL, LLC
May 23, 2013 - May 22, 2015
CIBC WORLD MARKETS CORP.
July 23, 2012 - April 8, 2013
VIRTU AMERICAS LLC
November 1, 2010 - April 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 27, 2004 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1989 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1982 - May 14, 1984
SBC WARBURG DILLON READ INC.
February 1, 1979 - March 23, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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