Michael Patrick Healy
Professional Summary
Michael Patrick Healy, who also goes by Michael P Healy, is a registered financial advisor currently at THE ULTIMA GLOBAL MARKETS (USA), INC. located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael P Healy
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
ALFA CAPITAL MARKETS (USA), INC | THE ULTIMA GLOBAL MARKETS (USA), INC. | COMPASS FINANCIAL CORPORATION | BCS GLOBAL MARKETS | BCS AMERICAS, INC. | ALFORMA CAPITAL MARKETS, INC.
Contact Information
Main Address
230 Park Avenue 3/4th Fl West, New York, NY 10169Mailing Address
230 Park Avenue 3/4th Fl West, New York, NY 10169Phone Number
(212) 421-7500Established
New York since 07/27/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/11/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Healy's CRS (Customer Relationship Summary).
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