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MN

Michael F. Newcomb

M&T SECURITIES
Rochester, NY 14604
Some features on this profile are disabled
CRD#: 2097837
MN

Professional summary

Michael Francis Newcomb II, who also goes by Michale Francis Mewcomb, Michael Francis Newcomb II, Michael Francis Newcomb, is a registered financial professional currently at M&T SECURITIES, INC. located in Rochester, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 7 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

Michale Francis Mewcomb | Michael Francis Newcomb Ii | Michael Francis Newcomb

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 Francis Newcomb II's CRS (Customer Relationship Summary).
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

November 2, 2023 - Present

M&T SECURITIES, INC.

Office #1: Investment Banking 180 South Clinton Ave, Rochester, NY 14604
BD
CRD#: 17358
Rochester, NY
Past

August 1, 2023 - October 11, 2023

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
CHARLOTTE, NC
Past

May 2, 2016 - August 1, 2023

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
CHARLOTTE, NC
Past

November 2, 2015 - May 17, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
STAMFORD, CT
Past

November 6, 2006 - September 17, 2015

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

August 31, 1999 - November 10, 2006

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

November 24, 1998 - August 19, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
California
(1/23/2024)
RR
Colorado
(1/23/2024)
RR
Connecticut
(1/23/2024)
RR
Delaware
(1/23/2024)
RR
District of Columbia
(1/23/2024)
RR
Florida
(1/23/2024)
RR
Georgia
(1/23/2024)
RR
Indiana
(1/23/2024)
RR
Maine
(1/23/2024)
RR
Maryland
(11/2/2023)
RR
Massachusetts
(1/23/2024)
RR
Nevada
(1/23/2024)
RR
New Hampshire
(1/23/2024)
RR
New Jersey
(1/23/2024)
RR
New York
(1/23/2024)
RR
North Carolina
(1/23/2024)
RR
Ohio
(1/23/2024)
RR
Pennsylvania
(1/23/2024)
RR
Puerto Rico
(1/23/2024)
RR
Rhode Island
(1/23/2024)
RR
Texas
(1/23/2024)
RR
Vermont
(1/23/2024)
RR
Virginia
(1/23/2024)
RR
Washington
(1/23/2024)
RR
West Virginia
(1/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/1998
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: 11/23/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
M&T SECURITIES, INC.
M&T DISCOUNT BROKERAGE SERVICES, INC. | M&T SECURITIES, INC.

CRD#: 17358 / SEC#: , 8-35185

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1 Light Street Suite 2000, Buffalo, NY 14202
Mailing Address
1 Light Street, Baltimore, MD 21202
Phone number
(410) 244-4307
Established
New York since 11/13/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
901

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
M&T BANK CORPORATIONSHAREHOLDER
BRETT, MICHELLE THERESEDIRECTOR7965730
COLLINS, ATWOOD IIIDIRECTOR5634496
DETTMANN, BRIAN JOHNDIRECTOR4659106
GIORGIO, HUGH EVANSDIRECTOR7535939
HOGAN, PAUL JOSEPHDIRECTOR2849151
NEWCOMB, MICHAEL FRANCIS IIDIRECTOR2097837
PETRUS, TANYA MARIEFINOP4848556
REILLY, MICHAEL MACKAYDIRECTOR4575618
REMORENKO, ALEXSANDRACHIEF COMPLIANCE OFFICER5699601
REMORENKO, ALEXSANDRAPRESIDENT5699601

Disclosures

Regulatory Event6
Arbitration1
Bond1

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

M&T SECURITIES, INC.

CRD#: 17358Rochester, NY 14604

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