Michael A. Mook
Professional summary
Being a previously registered professional could mean that this person 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.
Michael Adam Mook, who also goes by Michael A Mook, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2022 - February 23, 2026
MACARTHUR STRATEGIC CAPITAL, LLC
June 17, 2020 - December 20, 2021
FUNDOPOLIS SECURITIES, LLC
September 3, 2019 - April 21, 2020
RISE FINANCIAL SERVICES, LLC
September 8, 1998 - August 5, 2019
WEEDEN & CO.L.P.
December 8, 1997 - August 26, 1998
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
October 5, 1993 - October 10, 1997
JEFFERIES LLC
August 27, 1990 - September 15, 1993
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 3/17/2020
Investment Banking Registered Representative ExaminationSeries 12
Date: 8/12/2001
NYSE Branch Manager ExaminationCurrent Firm
MACARTHUR STRATEGIC CAPITAL, LLC
CRD#: 315178 / SEC#: , 8-70736
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACARTHUR HOLDING COMPANY LLC | OWNER | |
| BILLINGSLEY, JESSICA LEE | CHIEF EXECUTIVE OFFICER | 7601313 |
| BRIGGS, JONATHAN WILBOR | CHIEF COMPLIANCE OFFICER | 3215005 |
| SHUMBERG, IVANA MARCELLA | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3167225 |
| TROUSDALE, LAUREN NICOLE | PRINCIPAL FINANCIAL OFFICER | 5622407 |
Red Flags
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