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MV

Michael Vollaro

Some features on this profile are disabled
CRD#: 2884098
MV

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 Vollaro, who also goes by Michael A Vollaro, Michael Angelo Vollaro, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael A Vollaro | Michael Angelo Vollaro

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

February 2, 2023 - August 29, 2025

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

January 6, 2022 - April 1, 2022

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

March 22, 2021 - January 26, 2022

XP INVESTMENTS US, LLC

BD
CRD#: 156691
NEW YORK, NY
Past

November 30, 2020 - February 8, 2021

OTCEX, LLC

BD
CRD#: 165046
NEW YORK, NY
Past

January 8, 2016 - November 19, 2020

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

July 6, 2011 - April 22, 2016

TFS DERIVATIVES LLC

BD
CRD#: 30395
NEW YORK, NY
Past

February 11, 2009 - July 14, 2011

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

May 24, 2004 - February 10, 2009

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

September 9, 2002 - June 7, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 19, 1999 - September 9, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

March 20, 1998 - March 5, 1999

BHF SECURITIES CORPORATION

BD
CRD#: 7749
NEW YORK, NY
Past

September 17, 1997 - November 4, 1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

BD
CRD#: 18032
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
RR
Series 63
Date: 10/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/19/2012
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/16/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/8/2012
Financial and Operations Principal Examination

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

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

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

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

LPS CAPITAL LLC

CRD#: 155246

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