Michael N. Steinberg

MOMENTUS SECURITIES LLC

New York, NY 10018

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CRD#: 1062776

Professional summary

Michael Nmn Steinberg, who also goes by Michael Steinberg, is a registered financial professional currently at MOMENTUS SECURITIES LLC located in New York, New York and CAPLIGHT MARKETS LLC located in San Francisco, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 13 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 79, Series 55, Series 3, Series 7, Series 14, Series 12 and Series 24 exams.

Question & Answer

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Aliases

Michael Steinberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Nmn Steinberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 28, 2022 - Present

MOMENTUS SECURITIES LLC

Office #1: 1350 Broadway, Room/suite 2320, New York, NY 10018

CRD#: 307780

New York, NY

Current

March 20, 2023 - Present

CAPLIGHT MARKETS LLC

Office #1: 531 Howard Street 4th Floor, San Francisco, CA 94105

CRD#: 103970

San Francisco, CA

Current

December 24, 2024 - Present

INDEPENDENT BROKERAGE SOLUTIONS LLC

Office #1: 485 Madison Avenue 15th Floor, New York, NY 10022

CRD#: 153563

New York, NY

Current

August 6, 2025 - Present

LLOYDS SECURITIES

Office #1: 1095 Avenue Of The Americas, New York, NY 10036

CRD#: 154515

New York, NY

Past

November 7, 2023 - July 1, 2025

LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110

NEW YORK, NY

Past

November 17, 2021 - February 28, 2023

SECFI SECURITIES, LLC

CRD#: 302112

NEW YORK, NY

Past

March 19, 2021 - May 17, 2021

CCB INTERNATIONAL OVERSEAS (USA) INC.

CRD#: 159795

NEW YORK, NY

Past

June 27, 2012 - March 19, 2021

CCB INTERNATIONAL OVERSEAS (USA) INC.

CRD#: 159795

NEW YORK, NY

Past

September 7, 2010 - September 28, 2011

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

October 1, 2008 - May 13, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 20, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 28, 2000 - February 16, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

July 21, 1993 - July 3, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

April 24, 1986 - July 19, 1993

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

September 24, 1982 - July 25, 1986

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/7/2025)

Alaska
(1/7/2025)

Arizona
(1/7/2025)

Arkansas
(1/7/2025)

California
(1/7/2025)

Colorado
(1/7/2025)

Connecticut
(1/7/2025)

Delaware
(1/7/2025)

District of Columbia
(1/7/2025)

Florida
(1/7/2025)

Georgia
(1/7/2025)

Hawaii
(1/7/2025)

Idaho
(1/7/2025)

Illinois
(1/7/2025)

Indiana
(1/7/2025)

Iowa
(1/7/2025)

Kansas
(1/7/2025)

Kentucky
(1/7/2025)

Louisiana
(1/7/2025)

Maine
(1/7/2025)

Maryland
(1/7/2025)

Massachusetts
(2/20/2025)

Michigan
(1/7/2025)

Minnesota
(2/20/2025)

Mississippi
(1/7/2025)

Missouri
(1/7/2025)

Montana
(1/7/2025)

Nebraska
(1/7/2025)

Nevada
(1/7/2025)

New Hampshire
(1/7/2025)

New Jersey
(1/7/2025)

New Mexico
(1/7/2025)

New York
(3/20/2023)

North Carolina
(1/7/2025)

North Dakota
(1/7/2025)

Ohio
(1/7/2025)

Oklahoma
(1/7/2025)

Oregon
(1/7/2025)

Pennsylvania
(1/7/2025)

Puerto Rico
(1/7/2025)

Rhode Island
(1/7/2025)

South Carolina
(1/7/2025)

South Dakota
(1/7/2025)

Tennessee
(1/7/2025)

Texas
(1/7/2025)

Utah
(1/7/2025)

Vermont
(1/7/2025)

Virgin Islands
(1/7/2025)

Virginia
(1/7/2025)

Washington
(1/7/2025)

West Virginia
(1/7/2025)

Wisconsin
(1/7/2025)

Wyoming
(1/7/2025)

Exams

State Security Law Exam

Series 63

Date: 8/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/19/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 55

Date: 2/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 9/21/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/3/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 12

Date: 10/21/1993

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LLOYDS SECURITIES

LLOYDS SECURITIES | LLOYDS SECURITIES INC.

CRD#: 154515 / SEC#: , 8-68647

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

1095 Avenue Of The Americas, New York, NY 10036

Phone number

(212) 450-0800

Established

Delaware since 03/11/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LLOYDS AMERICA SECURITIES CORPORATION	SHAREHOLDER-COMMON STOCK
CRAWFORD, SUSAN ADELAIDE	HEAD OF RISK	7415877
FALLAN, WESLEY ROBERT	PRESIDENT OF LLOYDS SECURITIES	6313069
HOUGHTON, ROSS ANDREW	CHIEF FINANCIAL OFFICER, NA	6493863
MANSFIELD, WILLIAM RENICK JR	CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA	1398078
NADEL, MITCHELL NEIL	HEAD OF FINANCIAL MARKETS	6157639
ROWLANDS, MARK KEITH	PRINCIPAL FINANCIAL OFFICER & TREASURER	6601550
SMITH, KELVINA MONIQUE	CHIEF LEGAL OFFICER, LSI	7419693
STEINBERG, MICHAEL NMN	CHIEF COMPLIANCE OFFICER	1062776
TRYPHONIDES, NICHOLAS	PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY	6446246

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.

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Michael N. Steinberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Nmn Steinberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPLIGHT MARKETS LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC

LLOYDS SECURITIES

LOCKTON RE CAPITAL MARKETS, LLC

SECFI SECURITIES, LLC

CCB INTERNATIONAL OVERSEAS (USA) INC.

CCB INTERNATIONAL OVERSEAS (USA) INC.

MF GLOBAL INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

NOMURA SECURITIES INTERNATIONAL, INC.

ING BARING (U.S.) SECURITIES, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1983

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 3/19/2012

Series 55

Date: 2/16/2000

Series 3

Date: 9/21/1990

Series 7

Date: 9/18/1982

Series 14

Date: 1/3/2023

Series 12

Date: 10/21/1993

Series 24

Date: 4/24/1989

FINRA

Current Firm

LLOYDS SECURITIES

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LLOYDS SECURITIES

TRUST BUT VERIFY

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