MB
Michael D. Baisley
BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 4475938
MB
Professional summary
Michael David Baisley is a registered financial professional currently at BTIG, 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 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 27 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 David Baisley'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
July 8, 2024 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
October 18, 2010 - March 22, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
Past
October 1, 2009 - October 4, 2010
TNCP, LLC
BD
CRD#: 150134
NORWALK, CT
Past
January 2, 2004 - April 13, 2009
KNOX SECURITIES CORP.
BD
CRD#: 127436
WESTPORT, CT
Past
December 20, 2001 - June 20, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
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(7/8/2024)
RR
Alaska(7/8/2024)
RR
Arizona(7/8/2024)
RR
Arkansas(7/8/2024)
RR
California(7/8/2024)
RR
Colorado(7/8/2024)
RR
Connecticut(7/8/2024)
RR
Delaware(7/8/2024)
RR
District of Columbia(7/8/2024)
RR
Florida(7/8/2024)
RR
Georgia(7/8/2024)
RR
Hawaii(7/8/2024)
RR
Idaho(7/8/2024)
RR
Illinois(7/8/2024)
RR
Indiana(7/8/2024)
RR
Iowa(7/8/2024)
RR
Kansas(7/8/2024)
RR
Kentucky(7/8/2024)
RR
Louisiana(7/8/2024)
RR
Maine(7/8/2024)
RR
Maryland(7/8/2024)
RR
Massachusetts(7/8/2024)
RR
Michigan(7/8/2024)
RR
Minnesota(7/8/2024)
RR
Mississippi(7/8/2024)
RR
Missouri(7/8/2024)
RR
Montana(7/8/2024)
RR
Nebraska(7/8/2024)
RR
Nevada(7/8/2024)
RR
New Hampshire(7/8/2024)
RR
New Jersey(7/8/2024)
RR
New Mexico(7/8/2024)
RR
New York(7/8/2024)
RR
North Carolina(7/8/2024)
RR
North Dakota(7/8/2024)
RR
Ohio(7/9/2024)
RR
Oklahoma(7/8/2024)
RR
Oregon(7/8/2024)
RR
Pennsylvania(7/8/2024)
RR
Rhode Island(7/8/2024)
RR
South Carolina(7/8/2024)
RR
South Dakota(7/8/2024)
RR
Texas(7/8/2024)
RR
Utah(7/8/2024)
RR
Vermont(7/8/2024)
RR
Virgin Islands(7/8/2024)
RR
Virginia(7/8/2024)
RR
Washington(7/8/2024)
RR
West Virginia(7/8/2024)
RR
Wisconsin(7/8/2024)
RR
Wyoming(7/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil 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.
