Michael J. Davis

DERIVATY CO

WHITE PLAINS, NY 10604

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CRD#: 4097379

Professional summary

Michael James Davis is a registered financial advisor currently at DERIVATY CO located in White Plains, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Michael James Davis'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 6, 2021 - Present

DERIVATY CO

Office #1: 777 Westchester Ave, White Plains, NY 10604

RIA

CRD#: 310249

WHITE PLAINS, NY

Past

March 9, 2011 - December 31, 2013

VARICK ASSET MANAGEMENT

RIA

CRD#: 155502

NEW YORK, NY

Past

September 22, 2008 - August 6, 2010

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 30, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 22, 2000 - August 22, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DERIVATY CO

DERIVATY CO | [R2 CAPITAL] | R2 OPTIONS MANAGEMENT, LLC | DERIVATY, LLC | DERIVATY LLC

CRD#: 310249 / SEC#: 801-119381

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/6/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/3/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/12/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/20/2000

General Securities Representative Examination

Current Firm

DERIVATY CO

DERIVATY CO | [R2 CAPITAL] | R2 OPTIONS MANAGEMENT, LLC | DERIVATY, LLC | DERIVATY LLC

CRD#: 310249 / SEC#: 801-119381

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

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Contact information

Main Address

777 Westchester Ave, White Plains, NY 10604

Mailing Address

Phone number

(212) 395-9471

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (5/8/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 30,000,000

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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Michael J. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

VARICK ASSET MANAGEMENT

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DERIVATY CO

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2010

Series 63

Date: 9/9/2006

Series 3

Date: 11/12/2010

Series 7

Date: 3/20/2000

Current Firm

DERIVATY CO

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DERIVATY CO

TRUST BUT VERIFY

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