AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MC

Michael J. Cullen

MARKETAXESS
New York, NY 10001
Some features on this profile are disabled
CRD#: 1983867
MC

Professional summary

Michael Joseph Cullen is a registered financial professional currently at MARKETAXESS CORPORATION 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 15 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Joseph Cullen'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

February 1, 2021 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001
BD
CRD#: 44542
New York, NY
Past

February 8, 2018 - November 7, 2019

280 SECURITIES LLC

BD
CRD#: 284939
New York, NY
Past

July 13, 2016 - August 28, 2017

MAYBANK SECURITIES USA INC.

BD
CRD#: 27861
NEW YORK, NY
Past

June 27, 2014 - November 6, 2014

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

February 28, 2012 - June 28, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

June 1, 2011 - October 24, 2011

WSA FIXED INCOME, LLC

BD
CRD#: 145544
NEW YORK, NY
Past

September 5, 2006 - June 1, 2011

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

December 16, 2005 - August 16, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

October 27, 2005 - December 12, 2005

SEIDEL & CO., LLC

BD
CRD#: 42821
NEW YORK, NY
Past

May 17, 2005 - May 19, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

January 14, 2004 - April 13, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

August 31, 2001 - January 9, 2004

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

February 7, 1994 - August 21, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 24, 1993 - February 7, 1994

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 10, 1992 - March 29, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 19, 1989 - November 27, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
New York
(2/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/6/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARKETAXESS CORPORATION
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB

CRD#: 44542 / SEC#: , 8-50727

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55 Hudson Yards 15th Floor, New York, NY 10001
Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001
Phone number
(212) 813-6000
Established
Delaware since 09/12/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.SHAREHOLDER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER6980135
CONCANNON, CHRISTOPHER RCHIEF EXECUTIVE OFFICER2169224
PINTOFF, SCOTT ERICGENERAL COUNSEL & CHIEF LEGAL OFFICER6281715
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

Disclosures

Regulatory Event1

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

MARKETAXESS CORPORATION

CRD#: 44542New York, NY 10001

TRUST BUT VERIFY

Monitor Michael Cullen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics