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MS

Michael S. Siano

LINCOLN INTERNATIONAL
New York, NY 10171
Some features on this profile are disabled
CRD#: 4571190
MS

Professional summary

Michael Stephen Siano, who also goes by Mike Stephan Siano, is a registered financial professional currently at LINCOLN INTERNATIONAL LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Stephan Siano

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 Stephen Siano'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

November 6, 2019 - Present

LINCOLN INTERNATIONAL LLC

Office #1: 299 Park Ave. 7th Floor, New York, NY 10171
BD
CRD#: 42045
New York, NY
Past

April 24, 2017 - November 26, 2019

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

April 22, 2014 - April 27, 2017

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 21, 2010 - November 18, 2013

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 30, 2005 - August 6, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 28, 2002 - September 8, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
(11/7/2019)
RR
Illinois
(12/2/2019)
RR
New York
(11/8/2019)
RR
Texas
(11/22/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/19/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LINCOLN INTERNATIONAL LLC
LINCOLN INTERNATIONAL L.L.C. | LINCOLN PARTNERS L.L.C | LINCOLN INTERNATIONAL LLC

CRD#: 42045 / SEC#: , 8-49671

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
110 North Wacker Drive-51st Floor, Chicago, IL 60606
Mailing Address
110 North Wacker Drive-51st Floor, Chicago, IL 60606
Phone number
(312) 580-8339
Established
Illinois since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

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)

Direct owners and executive officers

NamePositionCRD#
MONARCH FINCO, LLCSOLE MEMBER
BARR, ROBERT BRUCEMANAGING DIRECTOR720560
BROWN, ROBERT TODDCHIEF EXECUTIVE OFFICER3114282
HAQUE, SARAH ANSARICHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL7419726
LAWSON, LAWRENCE JAMES IIIMANAGING DIRECTOR, CHAIRMAN1081222
MALCHOW, ERIC DENNISPRESIDENT2499555
NELSON, JULIE ANNEFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS7051181

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

LINCOLN INTERNATIONAL LLC

CRD#: 42045New York, NY 10171

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