Michael P. Stapleton
Professional summary
Michael Patrick Stapleton, who also goes by Michael P Stapleton, is a registered financial professional currently at AVATAR SECURITIES, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Stapleton's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2014 - Present
AVATAR SECURITIES, LLC
Office #1: 148 Madison Ave 5th Floor, New York, NY 10016March 6, 2013 - August 8, 2014
QUASAR TRADING, LLC
September 11, 2012 - June 27, 2013
COASTAL TRADE SECURITIES, LLC
October 18, 2011 - September 6, 2012
HOLD BROTHERS CAPITAL LLC
May 28, 2010 - September 6, 2012
TAFFERER TRADING, LLC
March 3, 2003 - May 28, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
October 24, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
July 29, 1996 - August 22, 2000
TAFFERER TRADING, LLC
August 1, 1991 - July 12, 1996
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/13/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 7/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq PHLX LLC
Current Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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