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MP

Michael E. Phelan

DINOSAUR FINANCIAL GROUP, L.L.C
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 1665400
MP

Professional summary

Michael Edward Phelan SR, who also goes by Michael Phazer, Michael Edward Phelan, is a registered financial professional currently at DINOSAUR FINANCIAL GROUP, L.L.C located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 12 firms and has passed the Series 72 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Phazer | Michael Edward Phelan

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 Edward Phelan SR'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

March 10, 2022 - Present

DINOSAUR FINANCIAL GROUP, L.L.C

Office #1: 33 Whitehall Street #1102, New York, NY 10004
BD
CRD#: 104446
NEW YORK, NY
Past

October 23, 2015 - November 22, 2021

LPS CAPITAL LLC

BD
CRD#: 155246
Garden City, NY
Past

January 5, 2015 - October 6, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 30, 2013 - January 6, 2015

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

March 21, 2011 - December 19, 2012

BGC FINANCIAL, L.P.

BD
CRD#: 19801
GARDEN CITY, NY
Past

October 1, 2007 - March 16, 2011

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

May 12, 2005 - November 9, 2007

SEABOARD SECURITIES, INC.

BD
CRD#: 755
GARDEN CITY, NY
Past

November 3, 2003 - May 16, 2005

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

May 30, 2003 - November 14, 2003

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

April 19, 1991 - March 16, 2001

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

August 8, 1988 - March 1, 1991

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

July 27, 1987 - May 19, 1988

CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.

BD
CRD#: 19729

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.

Exams

General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DF
DINOSAUR FINANCIAL GROUP, L.L.C
APB FINANCIAL GROUP | EAGLE BROKERS | DINOSAUR SECURITIES, L.L.C. | DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446 / SEC#: , 8-52908

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

Main Address
33 Whitehall St 1102, New York, NY 10004
Mailing Address
33 Whitehall St 1102, New York, NY 10004
Phone number
(212) 448-9944
Established
Delaware since 05/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
DINOSAUR GROUP HOLDINGS, LLCPARENT
GIORGIO, ANTHONY JOSEPHCCO/AMLCO5489336
GROSSMAN, ELLIOT SMANAGING DIRECTOR5116278
GROSSMAN, GLENN ANDREWPRESIDENT/CEO/MANAGING MEMBER1657276
SULEYMANOV, ZAKHARCFO/FINOP4927317

Disclosures

Regulatory Event5
Arbitration1

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

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446New York, NY 10004

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