Michael F. Paesano

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CRD#: 1557229

Professional summary

Michael Frank Paesano was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael Frank Paesano was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3 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)

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

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

Past

January 16, 2019 - January 4, 2021

AXIOM INVESTMENT MANAGEMENT LLC

RIA

CRD#: 141516

NEW YORK, NY

Past

May 2, 2011 - January 20, 2017

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

May 2, 2011 - January 20, 2017

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

June 9, 2008 - May 3, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

August 5, 2005 - May 3, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

June 6, 2003 - August 12, 2005

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

March 12, 2002 - June 6, 2003

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

October 18, 1999 - June 5, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

April 22, 1999 - August 26, 1999

BLAYLOCK & COMPANY, INC.

CRD#: 35669

NEW YORK, NY

Past

September 14, 1998 - February 8, 1999

SCHONFELD SECURITIES, LLC

CRD#: 23304

JERICHO, NY

Past

May 16, 1998 - July 29, 1998

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

July 3, 1996 - March 12, 1998

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

NEW YORK, NY

Past

July 3, 1996 - March 12, 1998

EXCO RMJ INTERNATIONAL INC.

CRD#: 21287

Past

February 14, 1989 - May 15, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

August 4, 1987 - November 21, 1988

NATWEST CAPITAL MARKETS SECURITIES INC.

CRD#: 19718

Past

June 25, 1987 - November 21, 1988

WESTMINSTER RESEARCH ASSOCIATES LLC

CRD#: 14508

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AXIOM INVESTMENT MANAGEMENT LLC

AXIOM INVESTMENT MANAGEMENT LLC | ROCKEFELLER CAPITAL MANAGEMENT/VIOS ADVISORS

CRD#: 141516 / SEC#: 801-67131

RIA

Registered Investment Advisory firm - (8/24/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/11/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1988

General Securities Representative Examination

Current Firm

AXIOM INVESTMENT MANAGEMENT LLC

AXIOM INVESTMENT MANAGEMENT LLC | ROCKEFELLER CAPITAL MANAGEMENT/VIOS ADVISORS

CRD#: 141516 / SEC#: 801-67131

RIA

Registered Investment Advisory firm - (8/24/2006 Approved)

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Contact information

Main Address

350 Fifth Avenue Suite 6740, New York, NY 10118

Mailing Address

Phone number

(212) 521-3800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIM ADV PART 2A MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 233,658,031

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael F. Paesano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MBSC, LLC

BNY MELLON CAPITAL MARKETS, LLC

KEYBANC CAPITAL MARKETS INC.

BLAYLOCK & COMPANY, INC.

SCHONFELD SECURITIES, LLC

NEWEDGE USA, LLC

INTERCAPITAL GOVERNMENT SECURITIES INC.

EXCO RMJ INTERNATIONAL INC.

NOMURA SECURITIES INTERNATIONAL, INC.

NATWEST CAPITAL MARKETS SECURITIES INC.

WESTMINSTER RESEARCH ASSOCIATES LLC

Primary Firm SEC Registration

AXIOM INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2005

Series 63

Date: 4/4/1989

SIE

Date: 1/20/2017

Series 3

Date: 12/11/1992

Series 7

Date: 12/17/1988

Current Firm

AXIOM INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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