Michael J. Mora
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael John Mora, who also goes by Mike Mora, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2023 - March 4, 2025
FUTU CLEARING INC
November 15, 2021 - December 5, 2023
FUTU CLEARING INC
March 4, 2021 - January 12, 2022
FTX CAPITAL MARKETS LLC
May 30, 2018 - February 4, 2021
VELOX CLEARING LLC
June 23, 2017 - July 31, 2017
VELOX SECURITIES, INC.
March 3, 2015 - March 14, 2017
COINBASE CAPITAL MARKETS CORP
August 10, 2011 - February 23, 2015
BOUSTEAD SECURITIES, LLC
March 17, 2011 - July 25, 2011
ASCENDIANT CAPITAL MARKETS, LLC
March 8, 2010 - February 28, 2011
BMA SECURITIES, LLC
November 10, 2008 - March 2, 2010
THE BENCHMARK COMPANY, LLC
July 17, 2008 - November 18, 2008
BMA SECURITIES, LLC
May 19, 2005 - June 13, 2008
CAPSTONE INVESTMENTS
June 7, 2004 - October 5, 2004
ROTH CAPITAL PARTNERS, LLC
January 8, 2004 - May 11, 2004
DELAFIELD HAMBRECHT, INC.
June 13, 2001 - November 18, 2002
WEDBUSH SECURITIES INC.
November 12, 1998 - April 30, 2001
DEUTSCHE IXE, LLC
March 5, 1996 - July 30, 1998
DEUTSCHE IXE, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 7/29/1999
Limited Representative-Equity Trader ExamCurrent Firm
FUTU CLEARING INC
CRD#: 298769 / SEC#: , 8-70215
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
