AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MF

Michael D. Fontaine

ARCADIA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 4339297
MF

Professional summary

Michael Damian Fontaine, who also goes by Mike Damian Fontaine, is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 10 firms and has passed the Series 66, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Damian Fontaine

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 Damian Fontaine'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

May 23, 2019 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022
BD
CRD#: 44656
New York, NY
Past

January 15, 2016 - May 25, 2019

CIM SECURITIES, LLC

BD
CRD#: 120852
New York, NY
Past

September 29, 2015 - January 4, 2016

BROOKLINE GROUP, LLC

BD
CRD#: 153587
NEW YORK CITY, NY
Past

August 11, 2014 - July 27, 2015

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

June 27, 2013 - August 12, 2014

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

February 28, 2011 - May 31, 2013

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

June 29, 2006 - February 10, 2011

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 20, 2004 - June 26, 2006

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

February 10, 2004 - June 26, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 8, 2003 - February 5, 2004

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
NEW YORK, NY
Past

July 8, 2003 - February 5, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 10, 2001 - July 10, 2003

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HOUSTON, TX
Past

April 4, 2001 - July 10, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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
California
(5/23/2019)
RR
Colorado
(5/23/2019)
RR
Connecticut
(5/23/2019)
RR
Florida
(5/23/2019)
RR
Illinois
(5/23/2019)
RR
Massachusetts
(5/23/2019)
RR
New Jersey
(5/23/2019)
RR
New York
(5/23/2019)
RR
Texas
(5/23/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2001
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 79
Date: 12/5/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/3/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/4/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER2290795
KONTULIS, CHARLES PHEDON IIMANAGING DIRECTOR1327613
KONTULIS, CHARLES PHEDON IIROSFP1327613
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

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

ARCADIA SECURITIES, LLC

CRD#: 44656New York, NY 10022

TRUST BUT VERIFY

Monitor Michael Fontaine

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics