Michael L. Axel
Professional summary
Michael Lewis Axel 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 1971. Prior to being barred, Michael had worked at 6 firms, which includes TRIPP & CO. INC., APPLE FINANCIAL CORPORATION, BRODIS SECURITIES INCORPORATED, BLINDER ROBINSON & CO. INC., DEAN WITTER & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1989 - November 20, 2007
TRIPP & CO., INC.
November 20, 1985 - November 6, 1989
APPLE FINANCIAL CORPORATION
May 16, 1983 - January 1, 1986
BRODIS SECURITIES INCORPORATED
October 17, 1973 - May 9, 1983
BLINDER, ROBINSON & CO., INC.
May 16, 1973 - November 23, 1973
DEAN WITTER & CO. INCORPORATED
December 6, 1971 - May 16, 1973
DEAN WITTER & 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 1
Date: 12/2/1971
Registered Representative ExaminationCurrent Firm
TRIPP & CO., INC.
CRD#: 6967 / SEC#: , 8-19818
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
