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MH

Michael J. Hutten

PANTHEON SECURITIES
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2468652
MH

Professional summary

Michael Joseph Hutten, who also goes by Mike Hutten, is a registered financial professional currently at PANTHEON SECURITIES, LLC located in San Francisco, California.

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 63, SIE, Series 7, Series 31 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Hutten

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 Joseph Hutten'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

February 7, 2018 - Present

PANTHEON SECURITIES, LLC

Office #1: 555 California Street Suite 3450, San Francisco, CA 94104
BD
CRD#: 285480
San Francisco, CA
Past

August 21, 2012 - October 24, 2017

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

April 21, 2011 - August 22, 2012

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
SANTA BARBARA, CA
Past

February 27, 2008 - March 22, 2011

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

April 1, 2003 - March 2, 2004

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
COLUMBUS, OH
Past

June 27, 2001 - December 31, 2002

MAM SECURITIES, LLC

BD
CRD#: 41140
SAN FRANCISCO, CA
Past

December 4, 2000 - April 27, 2001

SCUDDER WEISEL CAPITAL, LLC

BD
CRD#: 104088
SAN FRANCISCO, CA
Past

November 25, 1998 - November 17, 2000

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

October 1, 1997 - September 18, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

May 5, 1995 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

BD
CRD#: 7730
SAN FRANCISCO, CA
Past

April 21, 1994 - November 28, 1994

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
Alabama
(2/7/2018)
RR
Alaska
(2/7/2018)
RR
Arizona
(2/7/2018)
RR
Arkansas
(2/7/2018)
RR
California
(2/7/2018)
RR
Colorado
(2/7/2018)
RR
Connecticut
(2/7/2018)
RR
Delaware
(2/7/2018)
RR
District of Columbia
(2/7/2018)
RR
Florida
(2/7/2018)
RR
Georgia
(2/7/2018)
RR
Hawaii
(2/7/2018)
RR
Idaho
(2/7/2018)
RR
Illinois
(2/7/2018)
RR
Indiana
(2/7/2018)
RR
Iowa
(2/7/2018)
RR
Kansas
(2/7/2018)
RR
Kentucky
(2/7/2018)
RR
Louisiana
(2/7/2018)
RR
Maine
(2/7/2018)
RR
Maryland
(2/7/2018)
RR
Massachusetts
(2/7/2018)
RR
Michigan
(2/7/2018)
RR
Minnesota
(2/7/2018)
RR
Mississippi
(2/7/2018)
RR
Missouri
(2/7/2018)
RR
Montana
(2/7/2018)
RR
Nebraska
(2/7/2018)
RR
Nevada
(2/7/2018)
RR
New Hampshire
(2/7/2018)
RR
New Jersey
(2/7/2018)
RR
New Mexico
(2/7/2018)
RR
New York
(2/7/2018)
RR
North Carolina
(2/8/2018)
RR
North Dakota
(2/7/2018)
RR
Ohio
(2/7/2018)
RR
Oklahoma
(2/7/2018)
RR
Oregon
(2/7/2018)
RR
Pennsylvania
(2/7/2018)
RR
Puerto Rico
(2/7/2018)
RR
Rhode Island
(2/7/2018)
RR
South Carolina
(2/7/2018)
RR
South Dakota
(2/7/2018)
RR
Tennessee
(2/7/2018)
RR
Texas
(2/7/2018)
RR
Utah
(2/7/2018)
RR
Vermont
(2/7/2018)
RR
Virgin Islands
(2/7/2018)
RR
Virginia
(2/7/2018)
RR
Washington
(2/7/2018)
RR
West Virginia
(2/7/2018)
RR
Wisconsin
(2/7/2018)
RR
Wyoming
(2/7/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2011
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: 2/26/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 10/6/1994
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC

CRD#: 285480 / SEC#: , 8-69844

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

Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PANTHEONOWNER110091
BANKS, CHRISTOPHER JOHNCCO/AMLCO4308224
BANKS, CHRISTOPHER JOHNCEO/PRESIDENT4308224
ROCHE, PASCAL ACFO/FINOP5920968

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

PANTHEON SECURITIES, LLC

CRD#: 285480San Francisco, CA 94104

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