Michael V. Grana
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Vincent Grana, who also goes by Michael V Grana, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 27, Series 53, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2012 - October 26, 2021
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
June 8, 2010 - May 16, 2011
VIRTU AMERICAS LLC
May 12, 2009 - June 3, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - June 3, 2010
BARCLAYS CAPITAL INC.
July 7, 2006 - October 15, 2008
LEHMAN BROTHERS INC.
July 7, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
April 20, 2006 - July 10, 2006
NEUBERGER BERMAN BD LLC
August 12, 2005 - July 10, 2006
NEUBERGER BERMAN BD LLC
March 18, 2005 - September 19, 2005
PERSHING LLC
July 4, 2000 - December 31, 2003
BNY CLEARING SERVICES LLC
May 19, 1994 - July 4, 2000
BHF SECURITIES CORPORATION
November 20, 1991 - April 29, 1994
COWEN AND COMPANY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 3/27/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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