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MS

Michael H. Seelenfreund

J.H. DARBIE & CO.
New York, NY 10005
Some features on this profile are disabled
CRD#: 4125008
MS

Professional summary

Michael Henry Seelenfreund is a registered financial professional currently at J.H. DARBIE & CO., INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 8 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Michael Henry Seelenfreund'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

July 25, 2011 - Present

J.H. DARBIE & CO., INC.

Office #1: 48 Wall St., Suite 1206, New York, NY 10005
RIA
BD
CRD#: 43520
New York, NY
Past

August 11, 2010 - July 14, 2011

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

May 3, 2010 - August 10, 2010

SOLARIS SECURITIES, INC.

BD
CRD#: 31998
SAN ANTONIO, TX
Past

April 3, 2009 - March 31, 2010

SOUTHRIDGE WEALTH MANAGEMENT LLC

RIA
CRD#: 136707
NEW YORK, NY
Past

January 23, 2009 - April 12, 2010

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
NEW YORK, NY
Past

June 16, 2004 - January 22, 2009

MATRIX U.S.A., LLC

BD
CRD#: 38057
NEW YORK, NY
Past

April 16, 2002 - June 15, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

April 20, 2000 - April 16, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
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
Arizona
(1/2/2014)
RR
California
(7/25/2011)
RR
Colorado
(8/25/2016)
RR
Connecticut
(9/13/2016)
RR
Florida
(7/25/2011)
RR
Illinois
(1/21/2016)
RR
Massachusetts
(5/16/2019)
RR
Minnesota
(11/7/2013)
RR
Nevada
(3/5/2014)
RR
New Jersey
(7/25/2011)
RR
New Mexico
(5/29/2013)
RR
New York
(7/25/2011)
RR
North Carolina
(6/22/2016)
RR
Ohio
(5/25/2018)
RR
Pennsylvania
(11/1/2016)
RR
Texas
(7/25/2011)
RR
Virginia
(2/10/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/23/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JD
J.H. DARBIE & CO., INC.
J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona
Registered Investment Advisory firm - SEC (7/3/2024 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
New York
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
48 Wall St., Suite 1206. Suite 1206, New York, NY 10005
Mailing Address
48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005
Phone number
(212) 269-7271
Established
New York since 06/03/1997
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
5

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RABINOWITZ, ROBERT YPRES, GSP2821450
ANDERSON, ERIK JASONCHIEF COMPLIANCE OFFICER2686661
MATSIS, MICHAEL AAMLCO1455158
NAVEED, HASNAINFINOP, POO, PFO7004810
0

Disclosures

Regulatory Event10
Civil Event1
Arbitration1

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

J.H. DARBIE & CO., INC.

CRD#: 43520New York, NY 10005

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