Michael D. Ettinger
Professional summary
Being a previously registered professional could mean that this person 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.
Michael David Ettinger, who also goes by Michael Ettinger, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2018 - March 27, 2020
NATWEST MARKETS SECURITIES INC.
March 2, 2016 - August 29, 2016
CITADEL SECURITIES INSTITUTIONAL LLC
September 8, 2015 - August 29, 2016
CITADEL SECURITIES LLC
February 5, 2014 - September 8, 2015
UBS SECURITIES LLC
October 25, 1999 - January 7, 2013
CREDIT SUISSE SECURITIES (USA) LLC
January 24, 1997 - February 9, 1999
CSFP CAPITAL, INC.
November 10, 1994 - March 3, 1997
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/1/2024
Operations Professional ExaminationSeries 57TO
Date: 3/1/2024
Securities Trader ExamCurrent Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
