Michael W. Barone
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 William Barone was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2024 - October 23, 2025
ROBINHOOD FINANCIAL, LLC
July 26, 2016 - May 10, 2024
RAYMOND JAMES & ASSOCIATES, INC.
May 18, 2015 - July 11, 2016
CHEEVERS & COMPANY, LLC
March 5, 2012 - May 19, 2015
CABRERA CAPITAL MARKETS, LLC
February 2, 2011 - March 23, 2012
MELVIN SECURITIES, L.L.C.
December 15, 1986 - December 11, 2008
WILLIAM BLAIR
June 17, 1986 - December 19, 1986
WESSELS, ARNOLD & HENDERSON, L.L.C.
January 7, 1982 - May 12, 1986
WILLIAM BLAIR
December 10, 1981 - February 23, 1982
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
Red Flags
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