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Michael W. Siracuse

WAINWRIGHT INVESTMENT COUNSEL LLC
BOSTON, MA 02108
Some features on this profile are disabled
CRD#: 4342076
MS

Professional summary

Michael William, Iii Siracuse, who also goes by Michael William Siracuse, III, Michael William Sirocuse, III, is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 3 firms and has passed the Series 65, Series 66, Series 52TO, Series 99TO, Series 57TO, SIE, Series 79, Series 55, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael William Siracuse, Iii | Michael William Sirocuse, Iii

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.
MR. SIRACUSE IS EMPLOYED BY WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR, AND CURRENTLY HOLDS THE POSITION OF HEAD TRADER & VICE PRESIDENT. MR. SIRACUSE IS THE PRIVATE PLACEMENT PRINCIPAL AND MUNICIPAL SECURITIES PRINCIPAL OF WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William, Iii Siracuse'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 1, 2013 - Present

WAINWRIGHT INVESTMENT COUNSEL LLC

Office #1: One Boston Place 29th Floor, Boston, MA 02108
RIA
CRD#: 108711
BOSTON, MA
Current

January 30, 2004 - Present

WFS, LLC

Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108
BD
CRD#: 116778
BOSTON, MA
Past

August 10, 2001 - February 4, 2002

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711 / SEC#: 801-56485

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Massachusetts
(2/10/2004)
IAR
Massachusetts
(7/1/2013)
RR
New Hampshire
(6/30/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/24/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/6/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 12/12/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/9/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/17/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711 / SEC#: 801-56485

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)
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Contact information

Main Address
One Boston Place 29th Floor, Boston, MA 02108
Mailing Address
Phone number
(617) 531-3100
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (27 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WAINWRIGHT INVESTMENT COUNSEL, LLC FORM ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts207
AUM (Assets Under Management)$ 5,548,153,000

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

WAINWRIGHT INVESTMENT COUNSEL LLC

CRD#: 108711Boston, MA 02108

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