Michael J. Schilling

LIVINGSTON SECURITIES

UNIONDALE, NY 11556

Some features on this profile are disabled

CRD#: 2609624

Professional summary

Michael James Schilling is a registered financial professional currently at LIVINGSTON SECURITIES, LLC located in Uniondale, New York and RCM SECURITIES located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 20 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 25, Series 55, Series 7, Series 4, Series 9, Series 10, Series 14, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 James Schilling'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

April 16, 2020 - Present

LIVINGSTON SECURITIES, LLC

Office #1: 626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556

CRD#: 147364

UNIONDALE, NY

Current

June 2, 2021 - Present

RCM SECURITIES

Office #1: 318 W Adams St Floor 10, Chicago, IL 60606

CRD#: 15548

Chicago, IL

Current

July 9, 2021 - Present

WATSON MANAGEMENT ASSOCIATES, LLC

Office #1: 161 Grand Street #2a, New York, NY 10013

CRD#: 137908

New York, NY

Current

May 6, 2022 - Present

ARCADIA SECURITIES, LLC

Office #1: 1370 Avenue Of The Americas 29th Fl, New York, NY 10019

CRD#: 44656

New York, NY

Current

May 24, 2022 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 551 Fifth Avenue Suite 1800, New York, NY 10176

RIA

CRD#: 123520

NEW YORK, NY

Current

May 25, 2022 - Present

THE ULTIMA GLOBAL MARKETS (USA), INC.

Office #1: 230 Park Avenue 3/4th Fl West, New York, NY 10169

CRD#: 47895

New York, NY

Current

January 16, 2025 - Present

KOPENTECH CAPITAL MARKETS LLC

Office #2: 10880 Wilshire Blvd Suite 1101, Los Angeles, CA 90024

CRD#: 299808

ROSLYN, NY

Current

January 31, 2025 - Present

NETREX CAPITAL MARKETS, LLC

Office #1: 270 South Service Road Suite 45, Melville,, NY 11747-2339

CRD#: 160529

Melville,, NY

Current

November 3, 2025 - Present

NABSECURITIES, LLC

Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172

CRD#: 47390

New York, NY

Past

June 30, 2022 - February 14, 2023

AEGIS ENERGY ADVISORS CORP.

CRD#: 38500

NEW YORK, NY

Past

June 16, 2022 - February 6, 2023

STIRLINGSHIRE INVESTMENTS

CRD#: 310576

New York City, NY

Past

July 14, 2021 - January 3, 2023

ADVENTIX GLOBAL MARKETS LLC

CRD#: 170640

HAUPPAUGE, NY

Past

June 1, 2018 - November 7, 2019

OUTSET GLOBAL TRADING LIMITED

CRD#: 281065

New York, NY

Past

May 28, 2008 - May 30, 2018

RHINO TRADING PARTNERS, LLC

CRD#: 146064

NEW YORK, NY

Past

July 1, 2003 - May 19, 2008

A.L. SARROFF, LLC

CRD#: 123768

NEW YORK, NY

Past

September 7, 2001 - June 30, 2003

SARROFF, ALAN LEWIS

CRD#: 32934

NEW YORK, NY

Past

November 25, 1998 - May 3, 2001

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

Past

June 29, 1998 - December 2, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 2, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

July 21, 1995 - March 4, 1998

MILLENNIUM SECURITIES CORP.

CRD#: 31695

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

California
(1/16/2025)

Colorado
(1/16/2025)

Connecticut
(1/16/2025)

Delaware
(1/16/2025)

District of Columbia
(1/16/2025)

Florida
(1/16/2025)

Georgia
(1/16/2025)

Illinois
(1/16/2025)

Indiana
(1/16/2025)

Iowa
(1/16/2025)

Maryland
(1/16/2025)

Massachusetts
(1/16/2025)

Minnesota
(1/16/2025)

Missouri
(1/16/2025)

Nevada
(1/16/2025)

New Jersey
(1/16/2025)

New York
(4/16/2020)

Ohio
(1/28/2025)

Pennsylvania
(1/16/2025)

South Carolina
(1/16/2025)

Texas
(1/16/2025)

Virginia
(1/16/2025)

Wisconsin
(1/16/2025)

Exams

State Security Law Exam

Series 63

Date: 6/6/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 25

Date: 2/19/2002

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 55

Date: 8/6/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/11/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 9

Date: 3/7/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/19/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 14

Date: 5/29/2002

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 4/16/2002

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/1996

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NABSECURITIES, LLC

NABCAPITAL SECURITIES LLC | NATIONAL AUSTRALIA CAPITAL MARKETS, LLC | NABSECURITIES, LLC

CRD#: 47390 / SEC#: , 8-51785

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

277 Park Avenue 19th Floor, New York, NY, 10172

Mailing Address

277 Park Avenue 19th Floor, New York, NY, 10172

Phone number

(212) 916-9500

Established

Delaware since 09/05/1998

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NATIONAL AUSTRALIA BANK LIMITED	OWNER
ALLAN-SMITH, JOHN NEVILLE	DIRECTOR / CHAIRMAN OF THE BOARD	8027334
KIRSCHENBLAT, CHAD ETHAN	FINOP & PFO	2503352
LESTER, MEREDITH	DIRECTOR	7426691
LYUBOMIRSKAYA, SVETLANA	DIRECTOR	2793040
MASCARENHAS, CARLA JANE	DIRECTOR	6313662
SCHILLING, MICHAEL JAMES	CHIEF COMPLIANCE OFFICER	2609624
TAIANO, RICHARD LOUIS	PRESIDENT / CEO / DIRECTOR	3037875

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.

Similar Advisors

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Schilling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael James Schilling's CRS (Customer Relationship Summary).

Certified licenses

Experience

RCM SECURITIES

WATSON MANAGEMENT ASSOCIATES, LLC

ARCADIA SECURITIES, LLC

EMPIRICAL RESEARCH PARTNERS LLC

THE ULTIMA GLOBAL MARKETS (USA), INC.

KOPENTECH CAPITAL MARKETS LLC

NETREX CAPITAL MARKETS, LLC

NABSECURITIES, LLC

AEGIS ENERGY ADVISORS CORP.

STIRLINGSHIRE INVESTMENTS

ADVENTIX GLOBAL MARKETS LLC

OUTSET GLOBAL TRADING LIMITED

RHINO TRADING PARTNERS, LLC

A.L. SARROFF, LLC

SARROFF, ALAN LEWIS

DEUTSCHE IXE, LLC

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

MILLENNIUM SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/2008

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 25

Date: 2/19/2002

Series 55

Date: 8/6/1998

Series 7

Date: 7/20/1995

Series 4

Date: 12/11/2007

Series 9

Date: 3/7/2005

Series 10

Date: 11/19/2004

Series 14

Date: 5/29/2002

Series 27

Date: 4/16/2002

Series 24

Date: 1/19/1996

FINRA

Nasdaq Stock Market

Current Firm

NABSECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NABSECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors