Michael J. Genereux

DUCERA SECURITIES LLC

New York, NY 10036

Some features on this profile are disabled

CRD#: 2647602

Professional summary

Michael Joseph Genereux is a registered financial professional currently at DUCERA SECURITIES 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 8 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 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 Joseph Genereux'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

February 22, 2024 - Present

DUCERA SECURITIES LLC

Office #1: 11 Times Square, Floor 36, New York, NY 10036Office #2: 11 Times Square, Floor 36, New York, NY 10036

CRD#: 269984

New York, NY

Past

May 19, 2022 - March 4, 2024

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

July 8, 2020 - May 31, 2022

PERELLA WEINBERG PARTNERS LP

CRD#: 138618

NEW YORK, NY

Past

August 28, 2015 - September 30, 2019

PJT PARTNERS LP

CRD#: 171058

NEW YORK, NY

Past

April 22, 2003 - October 1, 2015

BLACKSTONE SECURITIES PARTNERS L.P.

CRD#: 17917

NEW YORK, NY

Past

September 7, 2000 - December 31, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 30, 1997 - August 16, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 14, 1995 - September 16, 1996

BARCLAYS CAPITAL INC.

CRD#: 19714

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
(2/22/2024)

Connecticut
(2/22/2024)

New York
(2/22/2024)

Exams

State Security Law Exam

Series 63

Date: 11/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/12/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/5/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DUCERA SECURITIES LLC

CRD#: 269984 / SEC#: , 8-69643

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

11 Times Square, Floor 36, New York, NY 10036

Mailing Address

11 Times Square, Floor 36, New York, NY 10036

Phone number

(212) 671-9771

Established

Delaware since 05/18/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DUCERA LLC	MEMBER
SCHERER, JOSHUA SCOTT	CCO, EXECUTIVE REP.	2522342
DOWLING, PATRICK HENRY JR.	CHIEF OPERATING OFFICER	6710935
HOPKINS, THOMAS JOHN	FINOP, CFO	1835087
KRAMER, MICHAEL ALLEN	MANAGER, PRINCIPAL	2341638

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

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Genereux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Genereux's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIPER SANDLER & CO.

PERELLA WEINBERG PARTNERS LP

PJT PARTNERS LP

BLACKSTONE SECURITIES PARTNERS L.P.

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1995

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/12/1995

Series 7

Date: 9/13/1995

Series 24

Date: 6/5/2009

FINRA

Current Firm

DUCERA SECURITIES LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DUCERA SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors