Michael H. Jordan

Some features on this profile are disabled

CRD#: 862830

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 Harris Jordan, who also goes by Michael H Jordan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael H Jordan

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

February 11, 1999 - October 30, 2001

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

April 23, 1993 - August 30, 1993

PARAGON CAPITAL MARKETS, INC.

CRD#: 18555

EAST HANOVER, NJ

Past

January 5, 1993 - April 2, 1993

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

March 21, 1985 - July 10, 1985

HUBERMAN SECURITIES CORP.

CRD#: 10133

Past

March 14, 1985 - June 26, 1985

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

November 8, 1983 - March 11, 1985

FIRST BOCA SECURITIES, INC.

CRD#: 3251

Past

November 15, 1982 - October 25, 1983

SOUTHEAST SECURITIES OF FLORIDA, INC.

CRD#: 5359

Past

June 16, 1982 - September 27, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 3, 1981 - April 22, 1982

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

June 10, 1980 - June 8, 1982

M. S. WIEN & CO., INC.

CRD#: 541

Past

March 4, 1980 - July 13, 1980

ROONEY, PACE INC.

CRD#: 6218

Past

December 17, 1979 - February 29, 1980

ROSS, STEBBINS INC.

CRD#: 6381

Past

August 31, 1979 - January 23, 1984

JAY W. KAUFMANN & CO.

CRD#: 2402

Past

February 26, 1979 - October 14, 1979

NORBAY SECURITIES INC.

CRD#: 5431

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/9/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/17/1999

General Securities Principal Examination

Current Firm

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

230 Park Ave - 361w, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-5090

Established

Florida since 05/28/1989

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-SEPT 30 2024 (9/30/2024)

Direct owners and executive officers

Name	Position	CRD#
QCAP HOLDINGS LLC (NAME CHANGE FROM QUINT CAPITAL LLC	OWNER
ACHZET, DAVID EDWARD	CHIEF COMPLIANCE OFFICER	1209132
PETERS, ROBERT WILLIAM	FINOP	1704577
QUINT, ALEXANDER NORMAN	CEO	1012135

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 147,573,714

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael H. Jordan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARAGON CAPITAL MARKETS, INC.

INVESTORS ASSOCIATES, INC.

HUBERMAN SECURITIES CORP.

J. W. GANT & ASSOCIATES, INC.

FIRST BOCA SECURITIES, INC.

SOUTHEAST SECURITIES OF FLORIDA, INC.

UBS FINANCIAL SERVICES INC.

BLINDER, ROBINSON & CO., INC.

M. S. WIEN & CO., INC.

ROONEY, PACE INC.

ROSS, STEBBINS INC.

JAY W. KAUFMANN & CO.

NORBAY SECURITIES INC.

Primary Firm SEC Registration

QUINT CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1993

Series 7

Date: 2/9/1999

Series 24

Date: 2/17/1999

Current Firm

QUINT CAPITAL CORPORATION

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

QUINT CAPITAL CORPORATION

TRUST BUT VERIFY

Similar Advisors