Michael Seymour (CRD #: 1597042), a broker registered with Centaurus Financial in Winter Haven, Florida, is the subject of a pending FINRA investigation, according to his BrokerCheck record, accessed on March 22, 2021. Seymour also offers wealth management services through Ingram Financial Group.
On March 8, 2021, FINRA made a preliminary determination to recommend disciplinary action be brought against Michael Seymour regarding allegations that he failed to supervise.
This FINRA action is not the only disclosure on Seymour’s record. On March 29, 2016, an investor alleged that Michael Seymour recommended unsuitable investments. The investor sought $110,000; the dispute settled for $15,000.
Michael Seymour has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 6 Investment Company Products/ Variable Contracts Representative Examination, the Series 9 General Securities Sales Supervisor – Options Module Examination, the Series 10 General Securities Sales Supervisor- General Module Examination, and the Series 24 General Securities Principal Examination. He is a registered broker in 13 states and a registered investment adviser in Florida, Georgia, and Texas.
During his 32 years of experience in the securities industry, Michael has registered with the 13 following firms:
- Centaurus Financial (CRD #: 30833)
- Ingram Advisor Services (CRD #: 123508)
- Investors Capital Advisory (CRD #: 30613)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Linsco/ Private Ledger Corp (CRD #: 6413)
- Allen & Company of Florida (CRD #: 25)
- The Dreyfus Service Corporation (CRD #: 231)
- Barnett Investments (CRD #: 14897)
- Key Investments (CRD #: 15873)
- John Hancock Mutual Life Insurance Company (CRD #: 5181)
- NYLife Securities (CRD #: 5167)
- Fidelity Brokerage Services (CRD #: 7784)
If Michael Seymour was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.