MM
Michael J. Moen
BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 3155671
MM
Professional summary
Michael James Palmer Moen, who also goes by Michael Jamespalmer Moen, Mike Moen, is a registered financial professional currently at BTIG, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 7 firms and has passed the Series 63, Series 65, Series 79TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Jamespalmer Moen | Mike Moen
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 Michael James Palmer Moen'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
August 27, 2024 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
December 17, 2019 - November 2, 2023
CANTOR FITZGERALD & CO.
BD
CRD#: 134
DARIEN, CT
Past
November 5, 2007 - December 15, 2008
WARISAN CAPITAL LLC
RIA
CRD#: 132610
WESTPORT, CT
Past
October 28, 2002 - February 19, 2004
BURLINGTON CAPITAL MARKETS INC.
BD
CRD#: 26991
NEW YORK, NY
Past
March 5, 2001 - August 6, 2002
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
August 17, 1999 - December 19, 2000
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
December 24, 1998 - July 27, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(8/27/2024)
RR
Alaska(8/27/2024)
RR
Arizona(8/27/2024)
RR
Arkansas(8/27/2024)
RR
California(8/27/2024)
RR
Colorado(8/27/2024)
RR
Connecticut(8/27/2024)
RR
Delaware(8/27/2024)
RR
District of Columbia(8/27/2024)
RR
Florida(8/27/2024)
RR
Georgia(8/27/2024)
RR
Hawaii(8/27/2024)
RR
Idaho(8/27/2024)
RR
Illinois(8/27/2024)
RR
Indiana(8/27/2024)
RR
Iowa(8/27/2024)
RR
Kansas(8/27/2024)
RR
Kentucky(8/27/2024)
RR
Louisiana(8/27/2024)
RR
Maine(8/27/2024)
RR
Maryland(8/27/2024)
RR
Massachusetts(8/27/2024)
RR
Michigan(8/27/2024)
RR
Minnesota(8/27/2024)
RR
Mississippi(8/27/2024)
RR
Missouri(8/27/2024)
RR
Montana(8/27/2024)
RR
Nebraska(8/27/2024)
RR
Nevada(8/27/2024)
RR
New Hampshire(8/27/2024)
RR
New Jersey(8/27/2024)
RR
New Mexico(8/27/2024)
RR
New York(8/27/2024)
RR
North Carolina(8/27/2024)
RR
North Dakota(8/27/2024)
RR
Ohio(8/27/2024)
RR
Oklahoma(8/27/2024)
RR
Oregon(8/27/2024)
RR
Pennsylvania(8/27/2024)
RR
Rhode Island(8/27/2024)
RR
South Carolina(8/27/2024)
RR
South Dakota(8/27/2024)
RR
Texas(8/27/2024)
RR
Utah(8/27/2024)
RR
Vermont(8/27/2024)
RR
Virgin Islands(8/27/2024)
RR
Virginia(8/27/2024)
RR
Washington(8/27/2024)
RR
West Virginia(8/27/2024)
RR
Wisconsin(8/27/2024)
RR
Wyoming(8/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/17/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 12/17/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/13/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
