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MD

Michael G. Dennis

BROKERTEC AMERICAS LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4192184
MD

Professional summary

Michael George Dennis, who also goes by Michael G Dennis, Michael George Dennis, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael G Dennis | Michael George Dennis

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 George Dennis'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

August 26, 2024 - Present

BROKERTEC AMERICAS LLC

Office #1: 20 South Wacker Drive 21st Floor, Chicago, IL 60606
BD
CRD#: 47477
Chicago, IL
Past

March 20, 2018 - August 27, 2024

ABN AMRO CLEARING USA LLC

BD
CRD#: 14020
CHICAGO, IL
Past

January 2, 2015 - February 21, 2018

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
CHICAGO, IL
Past

January 4, 2012 - January 2, 2015

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

October 12, 2011 - December 19, 2011

ADVANTAGE SECURITIES LLC

BD
CRD#: 39362
CHICAGO, IL

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
(8/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/16/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROKERTEC AMERICAS LLC
BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

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

Main Address
300 Vesey Street 7th Floor, New York, NY 10282
Mailing Address
300 Vesey Street 7th Floor, New York, NY 10282
Phone number
(800) 438-8616
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROKERTEC HOLDINGS INC.100% OWNERSHIP
CALDERON, DAVID JASONCHIEF FINANCIAL OFFICER4575354
DENNIS, MICHAELDIRECTOR4192184
HIRSCHMANN, ELISA MCHIEF COMPLIANCE OFFICER AND DIRECTOR5112554
WAKEFIELD, JONATHAN BISHOPCEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR1676639
WEINMAN, ANDREW LEONARDCHIEF OPERATIONS OFFICER AND DIRECTOR5209879

Disclosures

Regulatory Event1

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

BROKERTEC AMERICAS LLC

CRD#: 47477Chicago, IL 60606

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