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MF

Michael A. Ferrara

CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 4369730
MF

Professional summary

Michael Anthony Ferrara is a registered financial professional currently at CLSA AMERICAS, 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 4 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 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 Anthony Ferrara'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 11, 2016 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
RIA
BD
CRD#: 165533
New York, NY
Past

April 8, 2014 - August 17, 2016

REDI GLOBAL TECHNOLOGIES LLC

BD
CRD#: 41924
NEW YORK, NY
Past

May 16, 2005 - June 6, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 23, 2001 - September 14, 2012

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
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
(7/11/2016)
RR
Florida
(7/11/2016)
RR
New York
(7/11/2016)
RR
Texas
(7/11/2016)
RR
Virginia
(7/11/2016)
RR
Washington
(10/16/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/2001
Uniform Securities Agent State Law 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 3
Date: 12/5/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 5/25/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/20/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/19/2002
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)
Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)
Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECCO2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CFO-FINOP2680290
PARK, EDWARDBOARD MEMBER7550990
SCHWARTZ, BRADLEY HARRISBOARD MEMBER, CEO2372237
ZHANG, HUIZIBOARD MEMBER8008880

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

CLSA AMERICAS, LLC

CRD#: 165533New York, NY 10036

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