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ML

Michael B. Landau

UOB GLOBAL EQUITY SALES LLC
Paris, 75116
Some features on this profile are disabled
CRD#: 1098548
ML

Professional summary

Michael Barzel Landau, who also goes by Michael B Landau, is a registered financial professional currently at UOB GLOBAL EQUITY SALES LLC .

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 4 firms and has passed the SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael B Landau

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 Barzel Landau's CRS (Customer Relationship Summary).
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

November 27, 2003 - Present

UOB GLOBAL EQUITY SALES LLC

Office #1: 40, Rue La Perouse, Paris 75116
BD
CRD#: 126500
Paris,
Past

June 26, 1990 - May 9, 1991

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

March 25, 1988 - July 1, 1988

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

March 22, 1983 - December 23, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/14/1983
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

UG
UOB GLOBAL EQUITY SALES LLC
UOB GLOBAL EQUITY SALES LLC

CRD#: 126500 / SEC#: , 8-65886

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

Main Address
592 Fifth Avenue, Suite 602, New York, NY 10036
Mailing Address
592 Fifth Avenue, Suite 602, New York, NY 10036
Phone number
(212) 398-6633
Established
New York since 11/22/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UOB GLOBAL CAPITAL LLCMEMBER160659
BERKENFELD, HOWARD CRAIGCCO1932766
FORTINO, ROBERT ANTHONYFINOP1905741
GOSS, DAVID TUVIACEO4375267

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.

Company Information

UOB GLOBAL EQUITY SALES LLC

CRD#: 126500Paris 75116

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