Michael Joseph Kraus
Professional Summary
Michael Joseph Kraus, who also goes by Michael J Kraus, is a registered financial advisor currently at CTL SECURITIES LLC located in New York, New York and VAQUERO CAPITAL LLC located in Bend, Oregon. Michael is registered as a RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 11 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 14, Series 27...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael J Kraus
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
42 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BANDON PARTNERS, LLC | VAQUERO CAPITAL LLC
Contact Information
Main Address
2855 Nw Crossing Drive Suite 207, Bend, OR 97703Mailing Address
2855 Nw Crossing Drive Suie 207, Ben, OR 97703Phone Number
(415) 293-5546Established
California since 09/23/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (13 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/2/2009)
(11/19/2008)
(3/13/2009)
(1/2/2009)
(6/18/2009)
(11/19/2008)
(9/29/2009)
(7/9/2009)
(6/22/2009)
(7/9/2009)
(7/8/2009)
(3/23/2009)
(12/1/2008)
(11/19/2008)
(5/26/2009)
(3/10/2009)
(6/2/2009)
(6/15/2009)
(11/19/2008)
(8/18/2009)
(3/24/2009)
(6/5/2009)
(11/19/2008)
(6/3/2009)
(3/10/2009)
(1/22/2009)
(3/10/2009)
(6/17/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1984About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Kraus's CRS (Customer Relationship Summary).
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