Michael F. Abrams
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 Frederick Abrams, who also goes by Michael F Abrams, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 5 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
May 17, 2012 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 24, 2003 - May 24, 2012
BOLTON GLOBAL CAPITAL
July 15, 1994 - July 24, 2003
MORGAN STANLEY DW INC.
July 11, 1994 - July 24, 2003
MORGAN STANLEY DW INC.
June 30, 1994 - July 11, 1994
MORGAN STANLEY DW INC.
September 15, 1986 - July 8, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 23, 1979 - September 25, 1986
UBS FINANCIAL SERVICES INC.
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 5
Date: 10/23/1981
Interest Rate Options ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
