Michael J. Maiello
Professional summary
Michael John Maiello is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Maiello's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2013 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005Office #2: 766 Shrewsbury Avenue, Tinton Falls, NJ 07724January 14, 2008 - May 15, 2013
W.A. CAPITAL MARKETS
February 16, 2007 - January 18, 2008
G-2 TRADING,LLC
May 9, 2005 - August 21, 2006
HILL THOMPSON MAGID & CO., INC.
September 9, 2002 - March 4, 2005
GOLDMAN SACHS & CO. LLC
March 27, 1989 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/20/2013)
(5/20/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/21/1998
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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