MS
Michael Snow
SNOW FINANCIAL MANAGEMENT
Watermill, NY
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CRD#: 2196395
MS
Professional summary
Michael Snow is a registered financial advisor currently at SNOW FINANCIAL MANAGEMENT, LLC located in Watermill, New York.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Michael has worked at 2 firms and has passed the Series 65, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Mr. Snow is a member of the Board of Directors and the Regulatory Oversight Committee and Disciplinary Committee of BGC Derivative Markets, L.P., a subsidiary of BGC Partners, Inc., which offers trading in swap products subject to mandatory clearing, as well as swaps classified as permitted transactions. In addition, Mr. Snow is also a member of the Board of Directors of Remate Lince, S.A.P.I. de C.V., a Mexican inter-dealer broker with offices in Mexico and New York. Remate Lince was acquired by BGC Partners, Inc. in May 2014. He is a director of Cantor Clearinghouse, L.P. ("Cantor Clearinghouse"), which is CFTC approved as a registered Derivatives Clearing Organization. Cantor Clearinghouse settles all trades between buyers and sellers on the Cantor Exchange and ensures the integrity of the marketplace. Both Cantor Exchange and Cantor Clearinghouse are subsidiaries of Cantor Fitzgerald, L.P. Finally, Mr. Snow is also a board member of Fenics Markets Xchange (FMX), which is a wholly owned subsidiary of BGC Group Inc. which will provide fully electronic trading in cash treasuries, foreign exchange and interest rate futures.Mr. Snow is compensated for his role on the Board of Directors of the above referenced companies, and spends less than 10% percent of his time on these activities.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Snow's 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®
NoneExperience
Current
May 21, 2014 - Present
SNOW FINANCIAL MANAGEMENT, LLC
RIA
CRD#: 131068
Watermill, NY
Past
January 29, 1992 - December 12, 1997
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SNOW FINANCIAL MANAGEMENT, LLC
MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT | SNOW, MICHAEL | SNOW FINANCIAL MANAGEMENT, LLC | SNOW FINANCIAL MANAGEMENT | SNOW ASSET MANAGEMENT, LLC
CRD#: 131068 / SEC#: 801-63360
RIA
Registered Investment Advisory firm - (7/23/2004 Approved)California
Registered Investment Advisory firm - (7/27/2004 Terminated)New York
Registered Investment Advisory firm - (7/27/2004 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(3/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SNOW FINANCIAL MANAGEMENT, LLC
MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT | SNOW, MICHAEL | SNOW FINANCIAL MANAGEMENT, LLC | SNOW FINANCIAL MANAGEMENT | SNOW ASSET MANAGEMENT, LLC
CRD#: 131068 / SEC#: 801-63360
RIA
Registered Investment Advisory firm - (7/23/2004 Approved)California
Registered Investment Advisory firm - (7/27/2004 Terminated)New York
Registered Investment Advisory firm - (7/27/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Watermill, NY
Mailing Address
Phone number
(631) 537-5033
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 148 |
| AUM (Assets Under Management) | $ 98,616,898 |
Red Flags
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