Michael Roger Mccoy
Professional Summary
Michael Roger Mccoy, who also goes by Michael R Mccoy, is a registered financial advisor currently at WALLACHBETH CAPITAL LLC located in Jersey City, New Jersey. Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael R Mccoy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
WALLACHBETH CAPITAL LLC
Contact Information
Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431Phone Number
(646) 237-8585Established
New York since 05/05/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (44 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Civil Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/24/2014)
(8/28/2009)
(6/29/2009)
(1/23/2019)
(8/11/2009)
(6/24/2016)
(8/11/2009)
(9/1/2009)
(2/25/2010)
(2/6/2019)
(1/24/2014)
(1/24/2014)
(1/24/2014)
(1/24/2014)
(7/1/2009)
(8/11/2009)
(1/24/2014)
(1/24/2014)
(1/24/2014)
(8/11/2009)
(3/3/2009)
(8/26/2009)
(11/13/2009)
(1/24/2014)
(3/6/2017)
(3/4/2009)
(2/27/2020)
(12/2/2009)
(9/1/2009)
(1/24/2014)
(1/24/2014)
(4/28/2009)
(1/24/2014)
(1/24/2014)
(1/24/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2011SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Roger Mccoy's CRS (Customer Relationship Summary).
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