Michael P. Azzinaro

LOOP CAPITAL MARKETS LLC

New York, NY 10005

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CRD#: 1227083

Professional summary

Michael Peter Azzinaro is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Peter Azzinaro'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

June 1, 2015 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 88 Pine Street 25th Floor, New York, NY 10005

RIA

CRD#: 43098

New York, NY

Past

April 15, 2009 - April 24, 2014

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

July 7, 2008 - April 16, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 16, 2006 - June 18, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 21, 1988 - January 16, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 14, 1988 - December 14, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 22, 1984 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

New York
(6/1/2015)

Exams

State Security Law Exam

Series 63

Date: 4/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Mailing Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Phone number

(312) 913-4900

Established

Delaware since 06/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LOOP CAPITAL, LLC	OWNER
BERKELEY, STEPHEN SIDNEY	REGULATORY COUNSEL AND CCO	5616433
LUPKIN, IRA ADAM	CHIEF FINANCIAL OFFICER	4463446
REYNOLDS, JAMES JR.	CHIEF EXECUTIVE OFFICER	1162337
SULLIVAN, ANTHONY	CHIEF OPERATING OFFICER	5995264

Disclosures

Regulatory Event

Red Flags

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Michael P. Azzinaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Peter Azzinaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERNE, AGEE & LEACH, INC.

BANC OF AMERICA SECURITIES LLC

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LOOP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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