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MN

Michael J. Negron

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CRD#: 2164692
MN

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 James Negron was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 19, 2012 - August 21, 2013

B. RILEY & CO., LLC

BD
CRD#: 40355
BOSTON, MA
Past

June 27, 2012 - December 14, 2012

CARIS & COMPANY, INC.

BD
CRD#: 104235
BOSTON, MA
Past

September 9, 2011 - February 21, 2012

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOSTON, MA
Past

April 9, 2010 - August 16, 2011

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BOSTON, MA
Past

February 10, 2006 - October 27, 2009

LONGBOW SECURITIES, LLC

BD
CRD#: 135738
INDEPENDENCE, OH
Past

November 12, 1998 - October 31, 2002

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

January 16, 1997 - October 6, 1998

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

October 2, 1996 - January 9, 1997

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

March 8, 1994 - March 29, 1995

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

March 4, 1994 - March 29, 1995

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/7/2013
General Securities Principal Examination

Current Firm

BR
B. RILEY & CO., LLC
B. RILEY & CO., LLC | B. RILEY ASSET MANAGEMENT | B. RILEY AND CO. INC.

CRD#: 40355 / SEC#: , 8-49016

BD
Terminated by SEC on 03/03/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/30/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
B. RILEY FINANCIAL, INC.OWNER
FORMAN, ALAN NEILGENERAL COUNSEL6517416
KELLEHER, THOMAS JOHNCO-CEO2881063
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER, DEPUTY GENERAL COUNSEL1832307
MCCOY, MICHAEL RICHARDFINOP/CFO4743031
MOORE, ANDREW THOMASPRESIDENT4574997
RILEY, BRYANT RICHARDCO-CEO1702453

Disclosures

Regulatory Event6

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

B. RILEY & CO., LLC

CRD#: 40355

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