Michael G. Blum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Gerard Blum, who also goes by Mickey Blum, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2007 - October 9, 2007
MADISON PROPRIETARY TRADING GROUP, LLC
June 6, 2005 - April 5, 2007
LABRANCHE FINANCIAL SERVICES, LLC
February 4, 2005 - February 25, 2015
W.J. BLUM & SONS, LLC
July 11, 2002 - August 22, 2002
LABRANCHE & CO. LLC
June 12, 2001 - December 6, 2001
W.J. BLUM & SONS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/5/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 8/4/2005
NYSE Trading Assistant ExaminationCurrent Firm
MADISON PROPRIETARY TRADING GROUP, LLC
CRD#: 139818 / SEC#: , 8-67252
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMR CAPITAL TRADING CORP. | DIRECT OWNER | |
| MT TRADING, LLC | MANAGING MEMBER | |
| DELGRECO, SHARON GAIL | CHIEF COMPLIANCE OFFICER | |
| PONZO, MICHAEL SALVATORE | INTERIM CHIEF OPERATING OFFICER | |
| STEIN, HOWARD LAWRENCE | CHIEF FINANCIAL OFFICER/FINOP | 1702619 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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