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MR

Michael W. Reisman

NATWEST MARKETS SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2590768
MR

Professional summary

Michael Wayne Reisman, who also goes by Michael W Reisman, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael W Reisman

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 Wayne Reisman'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

July 26, 2024 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901
BD
CRD#: 11707
Stamford, CT
Past

October 10, 2005 - January 16, 2015

FIRST CLEARING, LLC

BD
CRD#: 17344
RICHMOND, VA
Past

February 2, 2004 - October 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 17, 2003 - March 2, 2004

EMPIRE SECURITIES CORPORATION

BD
CRD#: 2826
EL SEGUNDO, CA
Past

April 21, 1998 - July 1, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

October 1, 1997 - March 5, 1998

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

November 1, 1995 - September 8, 1997

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

March 17, 1995 - November 2, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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
Connecticut
(7/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/6/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/15/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.

CRD#: 11707 / SEC#: , 8-37135

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

Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RBS HOLDINGS USA INC.SHAREHOLDER
BABAYEV, ETHANCHIEF FINANCIAL OFFICER4452299
BROWER, LISASECRETARY, GENERAL COUNSEL6177644
BUCCI, MICHELLE ACHIEF OPERATING OFFICER5192971
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GIRARD, MICHELLE COLLEYPRESIDENT / CHIEF EXECUTIVE OFFICER2185240
ROOSE, SCOTTDIRECTOR2539705
SPEZZANO, CASEY RYANDIRECTOR4678231

Disclosures

Regulatory Event43
Civil Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NATWEST MARKETS SECURITIES INC.

CRD#: 11707Stamford, CT 06901

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