Michael N. Markunas
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 Nmn Markunas, who also goes by Michael Markunas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 13 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 28, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2025 - July 1, 2026
YORKVILLE SECURITIES, LLC
February 10, 2022 - January 3, 2023
FOCALPOINT SECURITIES, LLC
March 25, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
December 2, 2019 - June 2, 2025
B. RILEY WEALTH MANAGEMENT
February 6, 2018 - March 4, 2019
B. RILEY & CO., LLC
June 29, 2017 - August 25, 2020
MLV & CO. LLC
June 28, 2017 - June 2, 2025
B. RILEY SECURITIES, INC.
March 3, 2016 - November 30, 2017
B. RILEY & CO., LLC
September 18, 2013 - January 20, 2016
ATHENE SECURITIES, LLC
August 13, 2002 - July 1, 2005
A. G. EDWARDS & SONS, INC.
August 9, 2002 - July 1, 2005
A. G. EDWARDS & SONS, INC.
March 28, 2000 - March 27, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 29, 1997 - April 5, 2000
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 5, 1997
CITIGROUP GLOBAL MARKETS INC.
May 25, 1988 - July 31, 1993
LEHMAN BROTHERS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 12/19/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 5/30/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
YORKVILLE SECURITIES, LLC
CRD#: 330480 / SEC#: , 8-71241
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKVILLE BD HOLDINGS, LLC | SOLE MEMBER | |
| ANGELO, MARK ANTHONY | CHAIRMAN OF BOARD OF MANAGERS | 2585969 |
| BECKMAN, MATTHEW JACOB | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 4139592 |
| BOWMAN, TIMOTHY JOSEPH | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, AND FINOP | 2247374 |
| FRANKS, OREN | CONTROLLER | 4902717 |
| MARKUNAS, MICHAEL NMN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 1832307 |
| MCNICOLL, PATRICE | CO-CEO | 3199758 |
| RILLO, TROY JAMES | MEMBER OF BOARD OF MANAGERS; CO-CEO | 1726077 |
| ROSSELLI, MICHAEL ALBERT | MEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING | 7714774 |
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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