Michael J. Kraus
Professional summary
Michael Joseph Kraus, who also goes by Michael J Kraus, is a registered financial professional currently at CTL SECURITIES LLC located in New York, New York and VAQUERO CAPITAL LLC located in San Francisco, California.
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 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Kraus's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2008 - Present
CTL SECURITIES LLC
Office #1: 521 Fifth Ave 17th Floor, New York, NY 10175-1799May 4, 2021 - Present
VAQUERO CAPITAL LLC
Office #1: 1414 Castro Street Suite D, San Francisco, CA 94114-3775February 1, 2022 - February 22, 2022
PROVENANCE CAPITAL SERVICES LLC
September 30, 2019 - April 2, 2021
DIGITAL CAPITAL MARKETS LLC
March 25, 2013 - April 2, 2020
NEW RYE SECURITIES, LLC
February 27, 2013 - April 1, 2013
INX SECURITIES, LLC
October 3, 2012 - November 5, 2025
DWM FINANCE LLC
August 9, 2011 - October 11, 2012
UNITED FIRST PARTNERS LLC
May 2, 2011 - November 22, 2019
HT CAPITAL SECURITIES, LLC
June 22, 2006 - April 29, 2008
MCAP LLC
June 20, 1984 - August 16, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
VAQUERO CAPITAL LLC
CRD#: 137753 / SEC#: , 8-67111
Contact information
FINRA licenses (17 States and Territories)
Documents
Red Flags
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