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MICHELLE KAY HALLETT
MICHELLE KAY JIMENEZ, MICHELLE KAY MINER
CRD#: 3221399
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 4600 S SYRACUSE
STE 1010
DENVER, CO 80237
STE 1010
DENVER, CO 80237
0
Disclosures
19
Years of Experience
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State Registrations
B
California 8/19/2024
IA
Colorado 1/8/2016
B
Colorado 1/1/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/8/2016
B
Registered with this firm since 1/1/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/25/2013 - 03/13/2014 | DENVER, CO | |
B | 08/02/2013 - 03/13/2014 | DENVER, CO | |
IA | 02/02/2005 - 08/10/2011 | DENVER, CO | |
B | 07/27/2004 - 08/10/2011 | DENVER, CO | |
B | 10/05/2007 - 09/23/2008 | DES MOINES, IA | |
B | 05/26/1999 - 05/14/2002 | DENVER, CO |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.