MN
Michael H. Novick
VELOCITY CLEARING
New York, NY 10038
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CRD#: 2685126
MN
Professional summary
Michael Harry Novick is a registered financial professional currently at VELOCITY CLEARING, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Harry Novick'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®
NoneExperience
Current
April 5, 2021 - Present
VELOCITY CLEARING, LLC
Office #1: 199 Water Street 17th Floor, New York, NY 10038BD
CRD#: 126588
New York, NY
Past
March 3, 2004 - June 29, 2011
WEEDEN & CO.L.P.
BD
CRD#: 16835
GREENBRAE, CA
Past
August 13, 1996 - January 23, 1997
MERCURY AMERICAN CAPITAL CORP.
BD
CRD#: 36145
Past
June 5, 1996 - August 5, 1996
EURO-ATLANTIC SECURITIES INC.
BD
CRD#: 21367
BOCA RATON, FL
Past
February 16, 1996 - June 3, 1996
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/10/2022)
RR
Alaska(3/10/2022)
RR
Arizona(3/17/2022)
RR
Arkansas(3/10/2022)
RR
California(3/10/2022)
RR
Colorado(3/10/2022)
RR
Connecticut(3/10/2022)
RR
Delaware(3/10/2022)
RR
District of Columbia(3/10/2022)
RR
Florida(3/10/2022)
RR
Georgia(3/10/2022)
RR
Hawaii(3/10/2022)
RR
Idaho(3/10/2022)
RR
Illinois(3/10/2022)
RR
Indiana(3/10/2022)
RR
Iowa(3/10/2022)
RR
Kansas(3/10/2022)
RR
Kentucky(3/10/2022)
RR
Louisiana(3/10/2022)
RR
Maine(3/10/2022)
RR
Maryland(3/10/2022)
RR
Massachusetts(3/10/2022)
RR
Michigan(3/10/2022)
RR
Mississippi(3/10/2022)
RR
Missouri(3/10/2022)
RR
Montana(3/10/2022)
RR
Nebraska(3/10/2022)
RR
Nevada(3/10/2022)
RR
New Hampshire(3/10/2022)
RR
New Jersey(3/3/2022)
RR
New Mexico(3/10/2022)
RR
New York(3/10/2022)
RR
North Carolina(3/10/2022)
RR
North Dakota(3/10/2022)
RR
Ohio(3/10/2022)
RR
Oklahoma(3/10/2022)
RR
Oregon(3/10/2022)
RR
Pennsylvania(3/10/2022)
RR
Puerto Rico(3/10/2022)
RR
Rhode Island(3/10/2022)
RR
South Carolina(3/10/2022)
RR
South Dakota(3/10/2022)
RR
Tennessee(3/10/2022)
RR
Texas(3/10/2022)
RR
Utah(3/10/2022)
RR
Vermont(3/10/2022)
RR
Virgin Islands(3/10/2022)
RR
Virginia(3/10/2022)
RR
Washington(3/10/2022)
RR
West Virginia(3/10/2022)
RR
Wisconsin(3/10/2022)
RR
Wyoming(3/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
VC
VELOCITY CLEARING, LLC
GUARDIAN TRADING | VELOCITY PRIME SERVICES | VELOCITY EXECUTION SERVICES | VELOCITY CLEARING, LLC | QUANTEX CLEARING, LLC | NYFIX SECURITIES LLC | NYFIX SECURITIES CORPORATION | NYFIX CLEARING CORPORATION
CRD#: 126588 / SEC#: , 8-65894
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Mailing Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Phone number
(201) 706-7157
Established
Delaware since 06/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VCT HOLDINGS, LLC | SOLE MEMBER | |
| BRACERO, FRANK WILLIAM | CHIEF FINANCIAL OFFICER/FINOP | 2178318 |
| CALICE, ROBERT PEER | CHIEF OPERATIONS OFFICER | 2759949 |
| LOGAN, MICHAEL JAMES | CHIEF EXECUTIVE OFFICER | 5763098 |
| PRATNICKI, GREG | CHIEF COMPLIANCE OFFICER | 2409187 |
| ROBERTS, RALSTON PERMAR | CO-PRESIDENT | 2526147 |
| SCHAEFFER, BRIAN KEITH | CO PRESIDENT | 3063403 |
Disclosures
| Regulatory Event | 19 |
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.
