Michael J. Maguire
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 John Maguire, who also goes by Mike Maguire, Michael Maguire, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 55, Series 7, Series 27, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2019 - February 10, 2020
TRADEWORX SECURITIES LLC
January 28, 2014 - January 10, 2018
WILMINGTON CAPITAL SECURITIES, LLC
March 25, 2013 - January 24, 2014
U.S. FINANCIAL INVESTMENTS, INC.
November 2, 2009 - January 10, 2011
TRADEWORX EPSILON, LLC
June 7, 2004 - October 21, 2011
TRADEWORX SECURITIES LLC
September 27, 1990 - December 22, 1993
VASILIOU FRERES & CO., INC.
October 29, 1986 - May 18, 1998
VASILIOU & COMPANY, INC.
September 24, 1986 - November 20, 1986
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 55
Date: 2/11/2004
Limited Representative-Equity Trader ExamCurrent Firm
TRADEWORX SECURITIES LLC
CRD#: 129925 / SEC#: , 8-66276
Contact information
Documents
Red Flags
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.
