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Michael Christopher Rypl

CRD# 2207834·Registered 1992 - 2025
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Christopher Rypl, who also goes by Mike Rypl, was a registered financial advisor. Michael was a previously registered financial advisor and started their career in finance 1992 - 2025. Michael had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 79 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Rypl

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

DAWSON JAMES SECURITIES, INC.·CRD# 130645
BD
Boca Raton, FL
September 5, 2023 - January 9, 2025
LADENBURG THALMANN & CO. INC.·CRD# 505
BD
Boca Raton, FL
January 6, 2017 - September 1, 2023
T3 TRADING GROUP, LLC·CRD# 154431
BD
New York, NY
December 9, 2015 - January 20, 2016
OPPENHEIMER & CO. INC.·CRD# 249
BD
Boca Raton, FL
September 3, 2014 - September 16, 2015
MAXIM GROUP LLC·CRD# 120708
BD
Boca Raton, FL
June 5, 2012 - September 16, 2014
NOBLE CAPITAL MARKETS, INC.·CRD# 15768
BD
Boca Raton, FL
April 21, 2009 - June 4, 2012
POLARIS INVESTMENT PARTNERS, INC·CRD# 106711
RIA
Crystal River, FL
August 13, 2002 - June 3, 2008
MIDTOWN PARTNERS·CRD# 104223
BD
Land O Lakes, FL
September 18, 2001 - April 16, 2002
RAYMOND JAMES & ASSOCIATES, INC.·CRD# 705
BD
St. Petersburg, FL
August 5, 1998 - August 17, 2000
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
St. Louis, MO
October 21, 1996 - July 28, 1998
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
May 10, 1995 - May 10, 1995
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
May 10, 1995 - October 17, 1996
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - May 5, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
May 22, 1992 - July 31, 1993
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
March 26, 1992 - May 12, 1992

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Current Firm

DJ
DAWSON JAMES SECURITIES, INC.

DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: 8-66367
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Mailing Address

2700 N. Military Trail Suite 100, Boca Raton, FL 33431

Phone Number

(561) 391-5555

Established

Florida since 07/30/2002

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER—
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event

12

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2016About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Feb 2017About the Series 79 exam

Series 7 — General Securities Representative Examination

Passed Apr 2009About the Series 7 exam

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CRS (Client Relationship Summary)

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

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