Michael W. Lloyd
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 William Lloyd, who also goes by Michael W Lloyd, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 5 firms and has passed the Series 63, Series 7, Series 1, Series 52 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
September 27, 1985 - June 4, 1990
LLOYD SECURITIES, INC.
July 16, 1985 - September 11, 1985
PROPERTY INVESTMENT CONCEPTS, INC.
November 10, 1983 - June 28, 1985
JANNEY MONTGOMERY SCOTT LLC
February 25, 1983 - January 4, 1984
THOMSON MCKINNON SECURITIES INC.
April 22, 1980 - February 24, 1983
JANNEY MONTGOMERY SCOTT LLC
August 8, 1979 - April 25, 1980
ELKINS & 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
Series 1
Date: 1/19/1980
Registered Representative ExaminationCurrent Firm
LLOYD SECURITIES, INC.
CRD#: 1007 / SEC#: , 8-13611
Contact information
Documents
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.
