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Michael J. Ferraro

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CRD#: 2677694
MF

Professional summary

Michael John Ferraro was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael John Ferraro, who also goes by Michael J Ferraro, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael J Ferraro

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

January 30, 2009 - June 21, 2011

PHD CAPITAL

BD
CRD#: 38785
HOLTSVILLE, NY
Past

September 23, 2005 - February 2, 2009

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
YAPHANK, NY
Past

September 14, 2004 - October 20, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 14, 2004 - October 20, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

March 4, 2003 - September 7, 2004

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

April 25, 2002 - March 3, 2003

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

October 15, 2001 - May 16, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

July 26, 2001 - November 27, 2001

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

May 10, 2000 - August 17, 2001

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

April 29, 1999 - May 12, 2000

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

April 29, 1998 - May 18, 1999

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

March 11, 1997 - May 6, 1998

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

February 16, 1996 - February 14, 1997

STERLING FOSTER & COMPANY, INC.

BD
CRD#: 36052
UNIONDALE, NY

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
RR
Series 63
Date: 2/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/2003
General Securities Principal Examination

Current Firm

PC
PHD CAPITAL
PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP. | PHD CAPITAL

CRD#: 38785 / SEC#: , 8-48403

BD
Terminated by SEC on 12/10/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/07/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAFF, NELSON MARCVICE PRESIDENT/COO2629134
EISENMAN, JODY JOSEPHPRESIDENT1263068
HOFFMAN, PETER ROSSCFO2929643
SCHUSTER, SIDNEY JOSEPHCHIEF COMPLIANCE OFFICER2039134

Disclosures

Regulatory Event6
Arbitration2

Red Flags

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Company Information

PHD CAPITAL

CRD#: 38785

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