Michael J. Dolan
Professional summary
Michael John Dolan, who also goes by Michael J Dolan, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 55 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Dolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2021 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017October 3, 2011 - March 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2011 - March 8, 2018
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
May 17, 2000 - August 17, 2001
OSCAR GRUSS & SON INCORPORATED
February 16, 1996 - May 17, 1996
COLIN WINTHROP & CO., INC.
September 22, 1995 - February 22, 1996
FIRST WESTCHESTER SECURITIES
August 30, 1995 - September 18, 1995
CLAYTON SECURITIES SERVICES, INC.
July 21, 1994 - September 18, 1995
BG CAPITAL, INC.
April 7, 1994 - May 9, 1994
ROYCE INVESTMENT GROUP, INC.
August 6, 1990 - December 24, 1992
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2021)
Exams
Series 55
Date: 12/6/2000
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
