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MF

Michael Franzese

MCAP LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 1886353
MF

Professional summary

Michael Franzese, who also goes by Michael Franzese Jr, is a registered financial professional currently at MCAP LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Franzese Jr

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 Franzese'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

September 2, 2015 - Present

MCAP LLC

Office #1: 100 Park Avenue Suite 2201, New York, NY 10017Office #2: 100 Park Avenue Suite 2201, New York, NY 10017Office #3: 427 Bedford Road Suite 320, Pleasantville, NY 10570
BD
CRD#: 139515
NEW YORK, NY
Past

September 6, 2012 - March 23, 2015

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY
Past

September 3, 2009 - October 2, 2012

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

August 7, 2008 - September 1, 2009

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

BD
CRD#: 130847
NEW YORK, NY
Past

February 14, 2007 - March 8, 2007

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

April 6, 2004 - February 23, 2007

ZIONS DIRECT, INC.

BD
CRD#: 17776
NORTH WHITE PLAINS, NY
Past

June 13, 2003 - April 13, 2004

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

June 4, 2001 - May 1, 2003

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

April 29, 1998 - October 10, 2001

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

October 5, 1994 - January 12, 1998

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

April 17, 1991 - May 15, 1991

EJV BROKERAGE, INC.

BD
CRD#: 28085
Past

January 31, 1990 - February 22, 1991

CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.

BD
CRD#: 19729

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
Massachusetts
(11/3/2025)
RR
New York
(9/28/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/1994
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: 10/4/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/15/1993
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

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

Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MCAP TECHNOLOGIES LLCOWNER
DENNIS, WILLIAM CHOWNINGPRESIDENT4282868
MENN, DAVID ROBERTCHIEF EXECUTIVE OFFICER2283670
MULLEN, GREGORY VINCENTCHIEF FINANCIAL OFFICER & FINOP2048657
PATTI, LEONARD WILLIAMCHIEF COMPLIANCE OFFICER4276315

Disclosures

Regulatory Event2

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

MCAP LLC

CRD#: 139515New York, NY 10017

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