Michael F. Newcomb
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 Francis Newcomb II, who also goes by Michale Francis Mewcomb, Michael Francis Newcomb II, Michael Francis Newcomb, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2023 - May 27, 2026
M&T SECURITIES, INC.
August 1, 2023 - October 11, 2023
CITIZENS JMP SECURITIES, LLC
May 2, 2016 - August 1, 2023
CITIZENS CAPITAL MARKETS
November 2, 2015 - May 17, 2016
CITIZENS SECURITIES, INC.
November 6, 2006 - September 17, 2015
NATWEST MARKETS SECURITIES INC.
August 31, 1999 - November 10, 2006
UBS SECURITIES LLC
November 24, 1998 - August 19, 1999
PRUDENTIAL EQUITY GROUP, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | PRINCIPAL FINANCIAL OFFICER/FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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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