Michael E. Block
Professional summary
Michael E Block is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 87, Series 86, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael E Block's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 13, 2018 - Present
THIRD SEVEN CAPITAL LLC
Office #1: 67 Holly Hill Lane Suite 300c, Greenwich, CT 06830May 21, 2018 - June 12, 2018
LADENBURG THALMANN & CO. INC.
May 10, 2013 - May 17, 2018
RHINO TRADING PARTNERS, LLC
February 13, 2013 - May 6, 2013
PPG WEST LLC
April 14, 2010 - May 6, 2013
PHOENIX DERIVATIVES GROUP, LLC
August 25, 1997 - August 30, 1999
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2023)
(6/13/2018)
(3/6/2023)
(6/13/2018)
(3/6/2023)
(6/13/2018)
(6/13/2018)
(3/6/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 7/14/2021
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/29/2011
Limited Representative-Equity Trader ExamFINRA
Current Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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