Michael Espinal
Professional Summary
Michael Espinal is a registered financial advisor currently at M.M. DILLON & CO. LLC located in Greenwich, Connecticut. Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 3 firms and has passed the Series 63, Series 62, Series 79TO, SIE, Series 7, Series 14 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
There are no additional aliases reported.
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Videos & Posts
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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 on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
C.E. PFEIFER & CO., INC. | M.M. DILLON & CO. LLC | C.E. PFEIFER LLC
Contact Information
Main Address
One Sound Shore Drive Suite 103, Greenwich, CT 06830Mailing Address
One Sound Shore Drive Suite 103, Greenwich, CT 06830Phone Number
(203) 569-6800Established
Delaware since 03/26/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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
(5/14/2015)
(7/31/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Espinal's CRS (Customer Relationship Summary).
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