Partner, CCO & Senior Vice President
Joined: 2007
and access,
Michael (Mike) joined Gar Wood Securities, LLC, in 2007 to oversee the firm’s clearing securities regulation and risk management. He has been in the financial services industry since 1986. Mike has been Chief Compliance Officer and Financial Principal of Turning Point Securities and he served in the market regulation department at the Chicago Stock Exchange (CHX) and its subsidiaries. Mike currently holds the FINRA Series 7, 24, 27, 57, 63, and 99 licenses.
