Michael P. Fenton

LAKE STREET CAPITAL MARKETS

MINNEAPOLIS, MN 55402

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CRD#: 2437043

Professional summary

Michael Paul Fenton, who also goes by Michael Fenton, Mike Fenton, is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Fenton | Mike Fenton

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 Paul Fenton's CRS (Customer Relationship Summary).

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

December 2, 2019 - Present

LAKE STREET CAPITAL MARKETS, LLC

Office #1: 121 South 8th Street Suite 1000, Minneapolis, MN 55402

CRD#: 164447

MINNEAPOLIS, MN

Past

June 25, 2018 - October 10, 2019

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 18, 2017 - July 2, 2018

CRAFT CAPITAL MANAGEMENT LLC

CRD#: 171350

Garden City, NY

Past

May 4, 2016 - June 23, 2016

KOYOTE TRADING LLC

CRD#: 149672

NEW YORK, NY

Past

February 2, 2012 - April 22, 2016

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

February 6, 2009 - February 24, 2012

GILFORD FINANCIAL CORP.

RIA

CRD#: 126593

MELVILLE, NY

Past

March 24, 2003 - February 24, 2012

GILFORD SECURITIES INCORPORATED

CRD#: 8076

MELVILLE, NY

Past

January 31, 1997 - March 21, 2003

KSH INVESTMENT GROUP, INC.

CRD#: 41817

GREAT NECK, NY

Past

December 7, 1994 - January 22, 1997

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 21, 1994 - October 28, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

Minnesota
(7/7/2020)

New York
(7/7/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/7/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 6/24/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1994

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447 / SEC#: , 8-69101

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

121 South 8th Street Suite 1000, Minneapolis, MN 55402

Mailing Address

121 South 8th Street Suite 1000, Minneapolis, MN 55402

Phone number

(612) 326-1305

Established

Minnesota since 05/07/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAKE STREET HOLDINGS, LLC	DIRECT OWNER
ARGENTO, MARK NICHOLAS	PRESIDENT/DIR	2732498
BROWN, ROBERT DUNCAN	DIR	4297681
CULLUM, THOMAS CHARLES JR	EXECUTIVE CHAIRMAN/DIR	1694901
MARTINUZZI, ERIC	COO/DIR	4142535
MCNAMEE, PAUL ANDREW	CCO/FINOP/CFO	6788820
TOWNLEY, MICHAEL PRESTON	CEO/DIR	3112485

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.

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Advisor Monitoring

Firm Stability Insights

Michael P. Fenton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Paul Fenton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

CRAFT CAPITAL MANAGEMENT LLC

KOYOTE TRADING LLC

MAXIM GROUP LLC

GILFORD FINANCIAL CORP.

GILFORD SECURITIES INCORPORATED

KSH INVESTMENT GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/7/2002

Series 63

Date: 1/27/1994

Series 79TO

Date: 6/24/2020

SIE

Date: 10/1/2018

Series 7

Date: 1/20/1994

FINRA

Nasdaq Stock Market

Current Firm

LAKE STREET CAPITAL MARKETS, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LAKE STREET CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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