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MF

Michael R. Flooks

DV SECURITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 1832506
MF

Professional summary

Michael R Flooks, who also goes by Michael Raymond Flooks, Mike Flooks, is a registered financial professional currently at DV SECURITIES, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Raymond Flooks | Mike Flooks

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 R Flooks'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

November 18, 2025 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 305134
Chicago, IL
Past

June 22, 2023 - November 6, 2025

CREWS & ASSOCIATES, INC.

BD
CRD#: 8052
LITTLE ROCK, AR
Past

May 17, 2022 - June 16, 2023

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
STAMFORD, CT
Past

April 22, 2022 - May 23, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
Westport, CT
Past

April 14, 2015 - April 22, 2022

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
Westport, CT
Past

September 28, 2009 - April 9, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

November 6, 2006 - June 10, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
STAMFORD, CT
Past

December 14, 2000 - October 19, 2006

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
WESTPORT, CT
Past

February 8, 2000 - August 25, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

February 24, 1999 - February 8, 2000

SPIRES FINANCIAL, L.P.

BD
CRD#: 38209
HOUSTON, TX
Past

May 13, 1997 - December 2, 1998

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

June 8, 1994 - September 17, 1996

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 22, 1993 - June 21, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 25, 1988 - April 13, 1993

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/5/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DV SECURITIES, LLC
DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

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

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 05/26/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESTRADING PRINCIPAL - CEO2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER

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

DV SECURITIES, LLC

CRD#: 305134Chicago, IL 60605

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