Michael M. Mayerhofer

JONESTRADING

New York, NY 10013

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CRD#: 2903307

Professional summary

Michael Matthew Mayerhofer, who also goes by Michael M Mayerhofer, is a registered financial professional currently at JONESTRADING located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 30, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael M Mayerhofer

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 Matthew Mayerhofer's CRS (Customer Relationship Summary).

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

November 1, 2021 - Present

JONESTRADING

Office #1: 325 Hudson St 6th Floor, New York, NY, 10013

CRD#: 6888

New York, NY

Past

March 25, 2010 - February 25, 2022

RISE FINANCIAL SERVICES, LLC

CRD#: 146103

NEW YORK, NY

Past

August 5, 2003 - March 24, 2010

ELECTRONIC GLOBAL SECURITIES, INC.

CRD#: 47584

NEW YORK, NY

Past

December 15, 1999 - October 15, 2002

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

NEW YORK, NY

Past

August 14, 1997 - December 22, 1999

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/1/2021)

Connecticut
(2/25/2022)

Florida
(11/1/2021)

Georgia
(11/1/2021)

Illinois
(11/1/2021)

Massachusetts
(2/25/2022)

Minnesota
(2/25/2022)

New Jersey
(11/1/2021)

New York
(11/1/2021)

North Carolina
(2/25/2022)

Pennsylvania
(2/25/2022)

South Carolina
(2/25/2022)

Texas
(11/1/2021)

Virginia
(2/25/2022)

Washington
(11/1/2021)

Exams

State Security Law Exam

Series 63

Date: 10/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/17/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/4/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/15/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 30

Date: 11/25/2011

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 2/20/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/7/2003

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JONESTRADING

JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360

Mailing Address

555 Saint Charles Drive, Thousand Oaks, CA 91360

Phone number

(818) 991-5500

Established

Delaware since 08/15/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JONES & ASSOCIATES, INC.	HOLDING COMPANY
BELL, JEREMY DAVID	CCO	4498676
CHMIELEWSKI, STEVEN ANDREW	DIRECTOR	2066307
COHEN, SHLOMO	DIRECTOR	2877188
COOK, BURKE MCCLAIN	CORPORATE SECRETARY / LEGAL COUNSEL	4863190
HILL, ALAN FINBAR	CEO / DIRECTOR	5182098
KIRSCH, WILLIAM TANNER	DIRECTOR	5428522
LEVEEN, JEFFREY EARLE JR	DIRECTOR	2919172
MICSKY, JEFFREY A	DIRECTOR	4820920
ONEIL, TIMOTHY DAWSON	EXECUTIVE CHAIRMAN	2355507
TESORO, ANTHONY JAMES	DIRECTOR
TESORO, PHILLIP JAMES	DIRECTOR	2009378
WONG, JEFFREY RYAN	FINANCIAL AND OPERATIONS PRINCIPAL	4428807

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael M. Mayerhofer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Matthew Mayerhofer's CRS (Customer Relationship Summary).

Certified licenses

Experience

RISE FINANCIAL SERVICES, LLC

ELECTRONIC GLOBAL SECURITIES, INC.

HERZOG, HEINE, GEDULD, LLC

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/2004

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/17/2010

Series 55

Date: 3/4/2000

Series 7

Date: 7/15/1997

Series 14

Date: 1/2/2023

Series 30

Date: 11/25/2011

Series 24

Date: 2/20/2004

Series 4

Date: 8/7/2003

FINRA

Nasdaq Stock Market

Current Firm

JONESTRADING

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JONESTRADING

TRUST BUT VERIFY

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