Michael T. Ross
Professional summary
Michael Thomas Ross is a registered financial professional currently at WESTCHESTER CAPITAL PLANNING, INC. located in Kerhonkson, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 6, Series 3, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Thomas Ross's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 1999 - Present
WESTCHESTER CAPITAL PLANNING, INC.
Office #1: 21 Millbrook Lane, Kerhonkson, NY 12446December 20, 1999 - December 22, 1999
SECWEST SECURITIES, INC.
July 21, 1995 - January 22, 1999
SECWEST SECURITIES, INC.
March 22, 1995 - July 12, 1995
DICKINSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/1999)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WESTCHESTER CAPITAL PLANNING, INC.
CRD#: 45887 / SEC#: , 8-51213
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, MICHAEL THOMAS | PRESIDENT/CHIEF COMPLIANCE OFFICER/PRINCIPAL/CHIEF FINANCIAL OFFICER/FINOP | 2563736 |
Red Flags
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Company Information
WESTCHESTER CAPITAL PLANNING, INC.
CRD#: 45887Kerhonkson, NY 12446TRUST BUT VERIFY
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