Michael R. Daum

GFI SECURITIES LLC

New York, NY 10041

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CRD#: 2924117

Professional summary

Michael Robert Daum, who also goes by Michael Robert Daum, is a registered financial professional currently at GFI SECURITIES LLC 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, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Robert Daum

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 Robert Daum'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

August 7, 2023 - Present

GFI SECURITIES LLC

Office #1: 55 Water Street 10th Floor, New York, NY 10041

CRD#: 19982

New York, NY

Past

January 10, 2017 - July 19, 2023

WHITAKER SECURITIES LLC

CRD#: 121465

NEW YORK, NY

Past

January 26, 1999 - January 3, 2017

SEIDEL & CO., LLC

CRD#: 42821

NEW YORK, N. Y., NY

Past

July 21, 1997 - October 29, 1998

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

July 21, 1997 - October 29, 1998

MINT BROKERS

CRD#: 13681

NEW YORK, NY

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

New York
(8/7/2023)

Exams

State Security Law Exam

Series 63

Date: 8/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2001

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

CRD#: 19982 / SEC#: , 8-43548

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

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Contact information

Main Address

55 Water Street 10th Floor, New York, NY 10041

Mailing Address

55 Water Street 10th Floor, New York, NY 10041

Phone number

(212) 968-2032

Established

New York since 07/09/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GFINET INC.	SOLE MEMBER
ABULARRAGE, JOHN JOSEPH	CHIEF EXECUTIVE OFFICER	3265633
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
HAUF, JASON WILLIAMS	CHIEF FINANCIAL OFFICER	4163331
LEWIS, THOMAS JOSEPH	PRINCIPAL	2684821
LYNCH, MARTIN	CHIEF OPERATING OFFICER	5612726
SULFARO, MICHAEL CARL	CHIEF COMPLIANCE OFFICER	2483562

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael R. Daum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Robert Daum's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITAKER SECURITIES LLC

SEIDEL & CO., LLC

CANTOR FITZGERALD SECURITIES

MINT BROKERS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1997

Series 24

Date: 5/25/2001

FINRA

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

GFI SECURITIES LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GFI SECURITIES LLC

TRUST BUT VERIFY

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