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Michael Todd Washburn

CRD# 1867896·Registered 1988 - 2017
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Todd Washburn was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1988 - 2017. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 99, Series 55, Series 7 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

30 years in the financial services industry

Current & Past Employments

MLV & CO. LLC·CRD# 150959
BD
Arlington, VA
November 18, 2015 - September 25, 2017
B. RILEY SECURITIES, INC.·CRD# 25027
BD
Arlington, VA
September 17, 2012 - September 25, 2017
NETGAIN TRADING, LLC·CRD# 114838
BD
Miami, FL
August 2, 2002 - February 12, 2003
HEARTLAND SECURITIES CORP.·CRD# 43201
BD
Edison, NJ
May 15, 2001 - January 29, 2002
BROADWAY TRADING, LLC·CRD# 42429
BD
New York, NY
July 5, 2000 - July 14, 2000
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
October 14, 1998 - February 17, 2000
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
January 11, 1990 - June 4, 1990
J F LOWE & COMPANY INCORPORATED·CRD# 11830
BD
December 8, 1988 - January 29, 1990
GREENTREE SECURITIES CORP.·CRD# 7372
BD
October 17, 1988 - December 12, 1988
H.J. MEYERS & CO., INC.·CRD# 15609
BD
September 20, 1988 - November 5, 1988

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Current Firm

M&
MLV & CO. LLC

MCNICOLL, LEWIS & VLAK LLC | MLV & CO. LLC

CRD#: 150959 / SEC#: 8-68331
BD
Terminated by SEC on 08/24/2020

Contact Information

Established

Delaware since 06/04/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FBR CAPITAL MARKETS HOLDINGS, INC.DIRECT OWNER—
BONNEMA, STEPHEN JOSEPHCFO2229865
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307
MCNICOLL, PATRICECEO3199758

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2017About the SIE exam

Series 99 — Operations Professional Examination

Passed Sep 2012About the Series 99 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 1999

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Feb 2000About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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