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MW

Michael J. West

ARCHIPELAGO SECURITIES L.L.C.
New York, NY 10005
Some features on this profile are disabled
CRD#: 4173527
MW

Professional summary

Michael J. West JR. is a registered financial professional currently at ARCHIPELAGO SECURITIES L.L.C. located in New York, New York and ARCHIPELAGO TRADING SERVICES, 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 7 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 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 J. West JR.'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®
None

Experience

Current

October 24, 2016 - Present

ARCHIPELAGO SECURITIES L.L.C.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 102500
New York, NY
Current

February 5, 2025 - Present

ARCHIPELAGO TRADING SERVICES, INC.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 15853
New York, NY
Past

February 28, 2013 - October 2, 2015

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

January 22, 2007 - October 30, 2015

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

September 28, 2004 - January 9, 2008

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

June 10, 2004 - October 18, 2004

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

November 23, 2001 - September 11, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

June 1, 2000 - November 29, 2001

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ

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
New York
(10/24/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2004
Uniform Securities Agent 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: 5/31/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/6/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2000
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
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
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AT
ARCHIPELAGO TRADING SERVICES, INC.
ARCHIPELAGO TRADING SERVICES, INC. | GLOBENET SECURITIES, INC. | FRAY MUNICIPAL SECURITIES, INC. | CORPORATE CAPITAL SECURITIES, INC.

CRD#: 15853 / SEC#: , 8-33180

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Mailing Address
353 North Clark Street Suite 3200, Chicago, IL 60654
Phone number
(312) 836-6700
Established
Florida since 09/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NYSE GROUP, INC.HOLDING COMPANY
KNIGHT, JOHN CHARLESCHIEF COMPLIANCE OFFICER5187603
SCADDEN, BARRY SCOTTEXECUTIVE PRINCIPAL2400877
THOMASSON, SEAN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL5124423
TOBIN, BRYAN THOMASSUPERVISORY PRINCIPAL5232664

Disclosures

Regulatory Event5

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

ARCHIPELAGO TRADING SERVICES, INC.

CRD#: 15853New York, NY 10005

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