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MH

Michael P. Hohman

BROKERTEC AMERICAS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2862452
MH

Professional summary

Michael P Hohman, who also goes by Michael Philip Hohman, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Philip Hohman

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 P Hohman'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 12, 2021 - Present

BROKERTEC AMERICAS LLC

Office #1: 20 South Wacker Drive 21st Floor, Chicago, IL 60606
BD
CRD#: 47477
Chicago, IL
Past

February 2, 2005 - April 18, 2007

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

December 2, 2003 - September 9, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
OAK BROOK, IL
Past

October 14, 2003 - September 9, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 10, 2003 - October 20, 2003

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

February 13, 2001 - March 26, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, 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
IAR
Series 65
Date: 12/1/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROKERTEC AMERICAS LLC
BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Vesey Street 7th Floor, New York, NY 10282
Mailing Address
300 Vesey Street 7th Floor, New York, NY 10282
Phone number
(800) 438-8616
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROKERTEC HOLDINGS INC.100% OWNERSHIP
CALDERON, DAVID JASONCHIEF FINANCIAL OFFICER4575354
DENNIS, MICHAELDIRECTOR4192184
HIRSCHMANN, ELISA MCHIEF COMPLIANCE OFFICER AND DIRECTOR5112554
WAKEFIELD, JONATHAN BISHOPCEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR1676639
WEINMAN, ANDREW LEONARDCHIEF OPERATIONS OFFICER AND DIRECTOR5209879

Disclosures

Regulatory Event1

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.

Company Information

BROKERTEC AMERICAS LLC

CRD#: 47477Chicago, IL 60606

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