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Michael Salvatore Stanton

CRD# 1448072·Registered 1986 - 2022
Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael Salvatore Stanton, who also goes by Michael Stanton, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1986 - 2022. Michael had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Stanton

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

40 years in the financial services industry

Current & Past Employments

SW FINANCIAL·CRD# 145012
BD
New York, NY
December 10, 2019 - September 14, 2022
WORDEN CAPITAL MANAGEMENT LLC·CRD# 148366
BD
New York, NY
December 14, 2016 - December 11, 2019
LEGEND SECURITIES, INC.·CRD# 44952
BD
New York, NY
February 25, 2013 - December 8, 2016
OBSIDIAN FINANCIAL GROUP, LLC·CRD# 104255
BD
New York, NY
December 1, 2011 - March 13, 2013
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Iselin, NJ
September 21, 2005 - November 29, 2011
SUMMIT BROKERAGE SERVICES, INC.·CRD# 34643
BD
Boca Raton, FL
September 17, 2003 - September 23, 2005
INDIANAPOLIS SECURITIES, INC.·CRD# 10399
BD
Valley Stream, NY
March 28, 2003 - September 18, 2003
CAPITAL GROWTH FINANCIAL, LLC·CRD# 41040
BD
Boca Raton, FL
July 9, 2001 - March 28, 2003
DALTON KENT SECURITIES GROUP, INC.·CRD# 38813
BD
New York, NY
May 10, 2001 - July 9, 2001
BLUESTONE CAPITAL CORP.·CRD# 13516
BD
New York, NY
March 30, 2001 - June 8, 2001
TRADE.COM ONLINE SECURITIES, INC.·CRD# 36189
BD
New York, NY
September 18, 1998 - March 28, 2001
BARINGTON CAPITAL GROUP, L.P.·CRD# 29383
BD
New York, NY
April 17, 1998 - September 29, 1998
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
May 5, 1994 - April 14, 1998
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
December 9, 1992 - April 26, 1994
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
December 7, 1990 - December 3, 1992
D. H. BLAIR & CO., INC.·CRD# 6833
BD
May 18, 1989 - December 12, 1990
COMMONWEALTH ASSOCIATES·CRD# 20833
BD
New York, NY
July 27, 1988 - May 24, 1989
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
January 12, 1987 - December 12, 1990
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
January 21, 1986 - January 16, 1987

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Current Firm

SF
SW FINANCIAL

SALOMON WHITNEY FINANCIAL | SW FINANCIAL | SALOMON WHITNEY LLC

CRD#: 145012 / SEC#: 8-67688
BD
Terminated by SEC on 05/20/2026

Contact Information

Established

New York since 06/11/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ANGIA HOLDINGS, LLC75.1% OWNER—

Disclosures

Regulatory Event

7

Arbitration

7

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2021About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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