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MP

Michael J. Pinto

CASEY SECURITIES LLC
Greenbrae, CA 94904
Some features on this profile are disabled
CRD#: 1670737
MP

Professional summary

Michael Joseph Pinto is a registered financial professional currently at CASEY SECURITIES LLC located in Greenbrae, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Michael Joseph Pinto's 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

August 9, 2024 - Present

CASEY SECURITIES LLC

Office #1: 100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904
BD
CRD#: 35230
Greenbrae, CA
Past

September 3, 2013 - June 28, 2024

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

May 7, 2009 - August 30, 2013

MEB OPTIONS, LLC

BD
CRD#: 113332
CHICAGO, IL
Past

October 15, 2007 - May 8, 2008

OPTIONSHOUSE1, LLC

BD
CRD#: 135625
CHICAGO, IL
Past

October 10, 2007 - October 11, 2007

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

November 12, 2004 - October 3, 2007

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

April 22, 1996 - November 22, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 17, 1994 - February 29, 1996

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 11/20/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/7/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2017
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

CS
CASEY SECURITIES LLC
CASEY SECURITIES LLC | RFA SECURITIES | CASEY SECURITIES, LLC | CASEY SECURITIES, INC.

CRD#: 35230 / SEC#: , 8-21205

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904
Mailing Address
100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904
Phone number
(415) 954-5579
Established
Delaware since 01/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FCF GROUP INTERMEDIATE HOLDINGS LLC100% DIRECT OWNER
POSTREL, HELENE BERSONPRINCIPAL FINANCIAL OFFICER2240945
POSTREL, HELENE BERSONPRINCIPAL OPERATIONS OFFICER2240945
POSTREL, HELENE BERSONFINOP2240945
VORA, ANISH MCEO5466748
WONG, WILLIE LCHIEF COMPLIANCE OFFICER4170997

Disclosures

Regulatory Event19

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

CASEY SECURITIES LLC

CRD#: 35230Greenbrae, CA 94904

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