Michael J. Esposito
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 John Esposito, who also goes by Mike Esposito, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 11 firms and has passed the SIE, Series 62 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
November 1, 2010 - November 7, 2014
COWEN PRIME SERVICES LLC
July 11, 2005 - July 19, 2011
SANDERS MORRIS LLC
March 9, 2005 - July 28, 2005
BLACKBOOK CAPITAL, LLC
May 14, 2004 - July 12, 2005
MILLENNIUM BROKERAGE, L.L.C.
August 14, 1996 - July 7, 1999
SWM SECURITIES, INC.
March 17, 1992 - January 24, 1996
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
February 10, 1988 - December 31, 1991
BEM CAPITAL, INC.
November 12, 1979 - February 22, 1988
CIBC WORLD MARKETS CORP.
September 16, 1977 - December 22, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
July 1, 1976 - August 27, 1976
BACHE & CO 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 62
Date: 4/22/2004
Corporate Securities Limited Representative ExaminationCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
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.
