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MA

Michael L. Ashley

CANTOR FITZGERALD & CO.
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1641184
MA

Professional summary

Michael Leonard Ashley, who also goes by Michael Leneord Ashley, Michael Leonard Ashley, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Boston, Massachusetts.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Leneord Ashley | Michael Leonard Ashley

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) - BD

Click below to view Michael Leonard Ashley's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 25, 2024 - Present

CANTOR FITZGERALD & CO.

Office #1: 101 Federal Street Floor 17, Boston, MA 02110
BD
CRD#: 134
BOSTON, MA
Past

January 29, 2024 - July 16, 2024

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

March 31, 2014 - April 30, 2023

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

August 9, 2010 - December 12, 2012

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

January 6, 2009 - July 12, 2010

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
PORTLAND, ME
Past

May 27, 2008 - December 31, 2008

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

July 31, 2006 - July 25, 2007

IFMG SECURITIES, INC.

BD
CRD#: 14416
BOSTON, MA
Past

January 27, 1994 - January 23, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

November 25, 1988 - January 17, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 21, 1987 - June 2, 1988

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/30/2025)
RR
Maine
(10/30/2025)
RR
Massachusetts
(6/25/2024)
RR
New Hampshire
(10/30/2025)
RR
Rhode Island
(10/30/2025)
RR
Vermont
(10/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/13/1993
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1987
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD & CO.
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CFS CF & CO I HOLDINGS, L.P.MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
BANDELIER, PASCAL DANIELCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES4424051
CFLP CF&CO I HOLDINGS, L.P.LIMITED PARTNER
KELLY, SAGE NOLANCO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING2528122
MERKEL, STEPHEN MARCUSEXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY2366318
SALINAS, DANNYCHIEF FINANCIAL OFFICER6184109
SHIELDS, WILLIAM MICHAELCHIEF COMPLIANCE OFFICER2380166
WALL, CHRISTIAN DOUGLASCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME2751397

Disclosures

Regulatory Event97

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.

Company Information

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

CRD#: 134Boston, MA 02110

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