Michael G. Buckley
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 Gilbert Buckley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 10 firms and has passed the Series 63, Series 55, Series 7 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
April 6, 2011 - October 24, 2012
EVERCORE GROUP L.L.C.
December 1, 2009 - November 29, 2010
MACQUARIE CAPITAL (USA) INC.
July 20, 2005 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
April 26, 2004 - June 30, 2005
ING FINANCIAL MARKETS LLC
October 21, 2002 - December 12, 2003
BANIF SECURITIES INC
October 8, 1997 - August 14, 2001
COMMERZ MARKETS LLC
August 14, 1996 - September 18, 1997
DEUTSCHE BANK SECURITIES INC.
October 5, 1993 - August 7, 1996
ING BARING (U.S.) SECURITIES, INC.
May 2, 1989 - September 21, 1993
NORDBERG CAPITAL PARTNERS, INC.
December 22, 1987 - January 14, 1989
SIMMS SECURITIES, INC.
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: 2/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
EVERCORE GROUP L.L.C.
CRD#: 42405 / SEC#: , 8-49830
Contact information
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE BD INVESTCO L.L.C. | MANAGING MEMBER | |
| BRYSON, NANCY CLAIRE | CHIEF OPERATING OFFICER | 1978165 |
| CROWE, JOHN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2494752 |
| FUND, LISA K | PRINCIPAL OPERATIONS OFFICER | 5008055 |
| LALONDE, TIMOTHY GILBERT | CHIEF FINANCIAL OFFICER | 2270483 |
| MARTINEZ, MICHAEL | CHIEF OPERATING OFFICER - EVERCORE ISI | 5100611 |
| MASOTTI, KENNETH ALFRED | CHIEF LEGAL OFFICER | 4436810 |
| MYERS, JENNA | PRINCIPAL OPERATIONS OFFICER | 4582020 |
| PALIOTTA, MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER OF EVERCORE ISI | 2079036 |
| PENSA, PAUL | CHIEF FINANCIAL OFFICER/FINOP | 2119683 |
| WEINBERG, JOHN | CHIEF EXECUTIVE OFFICER | 2061177 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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