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MM

Michael P. Maher

LPS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2320161
MM

Professional summary

Michael Patrick Maher, who also goes by Mike Maher, is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Maher

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 Patrick Maher'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®
None

Experience

Current

January 27, 2016 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022
BD
CRD#: 155246
NEW YORK, NY
Past

December 3, 2012 - January 27, 2016

WESTLAKE SECURITIES

BD
CRD#: 127112
NORTH PALM BEACH, FL
Past

August 23, 2011 - July 18, 2012

GRIFFIN SECURITIES, INC.

BD
CRD#: 43229
NEW YORK, NY
Past

December 1, 2008 - August 16, 2011

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

February 29, 2008 - November 21, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

November 1, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

February 3, 2003 - November 2, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 3, 2003 - February 3, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 16, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 1, 1998 - September 6, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

July 12, 1996 - July 1, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

January 18, 1995 - July 12, 1996

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

BD
CRD#: 28195
NEW YORK, NY
Past

January 26, 1994 - June 28, 1994

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
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
New York
(1/27/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

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

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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

LPS CAPITAL LLC

CRD#: 155246New York, NY 10022

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