Michael R. Pope
Professional summary
Michael Ray Pope was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Michael had worked at 10 firms, which includes BROOKSTREET SECURITIES CORPORATION, WORLD INVEST CORPORATION, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, JOHN G. KINNARD AND COMPANY INCORPORATED, DICKINSON & CO., INTEGRATED RESOURCES EQUITY CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1997 - November 26, 1997
BROOKSTREET SECURITIES CORPORATION
June 1, 1994 - June 3, 1997
WORLD INVEST CORPORATION
December 20, 1993 - December 22, 1993
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 28, 1992 - June 22, 1993
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 20, 1991 - January 24, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 1, 1988 - March 25, 1991
DICKINSON & CO.
April 12, 1984 - February 23, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 16, 1981 - April 16, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - November 25, 1981
UBS FINANCIAL SERVICES INC.
September 19, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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
Series 8
Date: 4/29/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
