MB
Michelle A. Bermudez Barraza
BNY MELLON CAPITAL MARKETS
Houston, TX 77019
Some features on this profile are disabled
CRD#: 2838676
MB
Professional summary
Michelle Ann Bermudez Barraza, who also goes by Michelle Ann Agosta, Michelle Bermudez Barraza, Michelle Ann Bermudez, Michelle Ann Bermudez-barraza, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in Houston, Texas and PERSHING LLC located in Houston, Texas.
Michelle is registered as a RR (Registered Representative) and started their career in finance in 1998. Michelle has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michelle Ann Agosta | Michelle Bermudez Barraza | Michelle Ann Bermudez | Michelle Ann Bermudez-Barraza
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 Michelle Ann Bermudez Barraza'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
March 30, 2012 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 2229 San Felipe Suite 1525, Houston, TX 77019BD
CRD#: 17454
Houston, TX
Current
October 7, 2014 - Present
PERSHING LLC
Office #1: 2229 San Felipe Suite 1525, Houston, TX 77019BD
CRD#: 7560
Houston, TX
Past
September 9, 2005 - March 27, 2014
PERSHING LLC
BD
CRD#: 7560
NEW YORK, NY
Past
April 20, 2005 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
July 2, 2003 - April 12, 2005
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
August 27, 2002 - July 8, 2003
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
Past
March 7, 2002 - August 2, 2002
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
July 17, 1998 - March 25, 2002
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
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(3/30/2012)
RR
Alaska(4/26/2012)
RR
Arizona(3/30/2012)
RR
Arkansas(3/30/2012)
RR
California(3/30/2012)
RR
Colorado(3/30/2012)
RR
Connecticut(3/30/2012)
RR
Delaware(3/30/2012)
RR
District of Columbia(3/30/2012)
RR
Florida(3/30/2012)
RR
Georgia(3/30/2012)
RR
Hawaii(3/30/2012)
RR
Idaho(3/30/2012)
RR
Illinois(3/30/2012)
RR
Indiana(4/9/2012)
RR
Iowa(3/30/2012)
RR
Kansas(3/30/2012)
RR
Kentucky(3/30/2012)
RR
Louisiana(3/30/2012)
RR
Maine(3/30/2012)
RR
Maryland(3/30/2012)
RR
Massachusetts(4/25/2012)
RR
Michigan(3/30/2012)
RR
Minnesota(3/30/2012)
RR
Mississippi(3/30/2012)
RR
Missouri(3/30/2012)
RR
Montana(3/30/2012)
RR
Nebraska(4/10/2012)
RR
Nevada(11/1/2019)
RR
New Hampshire(3/30/2012)
RR
New Jersey(3/30/2012)
RR
New Mexico(3/30/2012)
RR
New York(3/30/2012)
RR
North Carolina(11/1/2019)
RR
North Dakota(3/30/2012)
RR
Ohio(3/27/2014)
RR
Oklahoma(3/30/2012)
RR
Oregon(4/9/2012)
RR
Pennsylvania(4/10/2012)
RR
Puerto Rico(3/30/2012)
RR
Rhode Island(3/30/2012)
RR
South Carolina(3/30/2012)
RR
South Dakota(3/30/2012)
RR
Tennessee(3/30/2012)
RR
Texas(3/30/2012)
RR
Utah(4/16/2012)
RR
Vermont(3/30/2012)
RR
Virgin Islands(10/7/2014)
RR
Virginia(4/10/2012)
RR
Washington(3/30/2012)
RR
West Virginia(4/12/2012)
RR
Wisconsin(3/30/2012)
RR
Wyoming(3/30/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/19/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION
CRD#: 7560 / SEC#: , 8-17574
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
