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Michael J. Conte

Some features on this profile are disabled
CRD#: 2646071
MC

Professional summary

Michael James Conte was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Michael had worked at 10 firms, which includes SETON SECURITIES GROUP INC., FUSION ANALYTICS SECURITIES LLC, FUSION ANALYTICS INVESTMENT PARTNERS LLC, REDWOOD BROKERAGE LLC, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., FINANCIAL SQUARE PARTNERS, CREATIVE CAPITAL MANAGEMENT CORPORATION, CELADON FINANCIAL GROUP LLC, LOCUST STREET SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike James Conte

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 2, 2013 - July 16, 2014

SETON SECURITIES GROUP, INC.

BD
CRD#: 18044
NEW YORK, NY
Past

September 18, 2007 - October 18, 2021

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
ST. JAMES, NY
Past

May 8, 2006 - December 31, 2020

FUSION ANALYTICS INVESTMENT PARTNERS LLC

RIA
CRD#: 139321
CORAL SPRINGS, FL
Past

June 7, 2005 - February 22, 2006

REDWOOD BROKERAGE LLC

BD
CRD#: 39416
NEW YORK, NY
Past

April 4, 2003 - June 8, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 2, 1998 - April 7, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 3, 1998 - March 27, 1998

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

October 30, 1997 - December 5, 1997

CREATIVE CAPITAL MANAGEMENT CORPORATION

BD
CRD#: 11145
CLEVELAND, OH
Past

August 20, 1997 - August 30, 1997

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
MORRISTOWN, NJ
Past

September 23, 1996 - June 11, 1997

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
MORRISTOWN, NJ
Past

May 7, 1996 - January 14, 1997

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/9/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/13/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 4/24/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/6/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/6/1997
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/21/1997
General Securities Principal Examination

Current Firm

SS
SETON SECURITIES GROUP, INC.
SETON SECURITIES GROUP, INC. | WAXMAN SECURITIES INC.

CRD#: 18044 / SEC#: , 8-36105

BD
Terminated by SEC on 12/25/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/17/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SETON CAPITAL CORP.HOLDING COMPANY
KRILL, RICHARD EDWARDFINOP3190120
SPIVEY, CRAIG HENRYPRESIDENT, CHIEF COMPLIANCE OFFICER1777450

Disclosures

Regulatory Event11

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

SETON SECURITIES GROUP, INC.

CRD#: 18044

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