Michael Richard Modeski
Professional Summary
Michael Richard Modeski, who also goes by Michael R Modeski, is a registered financial advisor currently at OTC LINK LLC located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 10, Series 9 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 R Modeski
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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
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
OTC LINK LLC | PINK LINK ATS LLC
Contact Information
Main Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282Mailing Address
300 Vesey Street (1 North End Ave) 12th Floor, New York, NY, 10282Phone Number
(212) 896-4483Established
Delaware since 04/15/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 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
(4/12/2012)
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 1998Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2000About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Richard Modeski's CRS (Customer Relationship Summary).
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