MK
Michael B. Karmiol
LIFESCI CAPITAL
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 4264477
MK
Professional summary
Michael Brett Karmiol is a registered financial professional currently at LIFESCI CAPITAL 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, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Brett Karmiol'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
June 12, 2024 - Present
LIFESCI CAPITAL
Office #1: 1700 Broadway 40th Floor, New York, NY 10019BD
CRD#: 168404
NEW YORK, NY
Past
September 5, 2017 - June 11, 2024
BTIG, LLC
BD
CRD#: 122225
New York, NY
Past
January 5, 2016 - September 5, 2017
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
October 16, 2012 - December 18, 2015
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
January 6, 2010 - June 28, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
NEW YORK, NY
Past
January 5, 2009 - December 8, 2009
BTIG, LLC
BD
CRD#: 122225
NEW YORK, NY
Past
March 13, 2006 - January 27, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 9, 2004 - March 1, 2006
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
November 30, 2000 - March 18, 2004
UBS SECURITIES LLC
BD
CRD#: 7654
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(6/30/2024)
RR
Alaska(6/30/2024)
RR
Arizona(6/30/2024)
RR
Arkansas(6/30/2024)
RR
California(6/30/2024)
RR
Colorado(6/30/2024)
RR
Connecticut(6/30/2024)
RR
Delaware(6/30/2024)
RR
District of Columbia(6/30/2024)
RR
Florida(6/30/2024)
RR
Georgia(6/30/2024)
RR
Hawaii(6/30/2024)
RR
Idaho(6/30/2024)
RR
Illinois(6/30/2024)
RR
Indiana(6/30/2024)
RR
Iowa(6/30/2024)
RR
Kansas(6/30/2024)
RR
Kentucky(6/30/2024)
RR
Louisiana(6/30/2024)
RR
Maine(6/30/2024)
RR
Maryland(6/30/2024)
RR
Massachusetts(6/30/2024)
RR
Michigan(6/30/2024)
RR
Minnesota(6/30/2024)
RR
Mississippi(6/30/2024)
RR
Missouri(6/30/2024)
RR
Montana(6/30/2024)
RR
Nebraska(6/30/2024)
RR
Nevada(6/30/2024)
RR
New Hampshire(6/30/2024)
RR
New Jersey(6/30/2024)
RR
New Mexico(6/30/2024)
RR
New York(6/12/2024)
RR
North Carolina(6/30/2024)
RR
North Dakota(6/30/2024)
RR
Ohio(7/1/2024)
RR
Oklahoma(6/30/2024)
RR
Oregon(6/30/2024)
RR
Pennsylvania(6/30/2024)
RR
Puerto Rico(6/30/2024)
RR
Rhode Island(6/30/2024)
RR
South Carolina(6/30/2024)
RR
South Dakota(6/30/2024)
RR
Texas(6/30/2024)
RR
Utah(6/30/2024)
RR
Vermont(6/30/2024)
RR
Virgin Islands(6/30/2024)
RR
Virginia(6/30/2024)
RR
Washington(6/30/2024)
RR
West Virginia(6/30/2024)
RR
Wisconsin(6/30/2024)
RR
Wyoming(6/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 12/23/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/7/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
LC
LIFESCI CAPITAL
LIFESCI CAPITAL | LIFESCI CAPITAL, LLC
CRD#: 168404 / SEC#: , 8-69305
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1700 Broadway 40th Floor, New York, NY 10019
Mailing Address
1700 Broadway 40th Floor, New York, NY 10019
Phone number
(646) 597-6987
Established
New York since 03/14/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory 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.
