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Michael D. Monte

EAST WIND SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 4705836
MM

Professional summary

Michael David Monte is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 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 David Monte'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

February 2, 2021 - Present

EAST WIND SECURITIES, LLC

Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019
BD
CRD#: 148032
New York, NY
Past

May 16, 2016 - March 25, 2020

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
CLEVELAND, OH
Past

October 28, 2015 - May 16, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
CLEVELAND, OH
Past

December 6, 2005 - June 26, 2009

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY
Past

September 9, 2003 - August 25, 2004

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2016
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 79
Date: 10/28/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EW
EAST WIND SECURITIES, LLC
EAST WIND SECURITIES, LLC

CRD#: 148032 / SEC#: , 8-67955

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

Main Address
810 Seventh Avenue 35th Floor, New York, NY 10019
Mailing Address
810 Seventh Avenue 35th Floor, New York, NY 10019
Phone number
(646) 202-1500
Established
New York since 04/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 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#
EAST WIND HOLDINGS, LLCSHAREHOLDER
ROTHSCHILD, PETER HOWARDGENERAL SECURITIES PRINCIPAL1291471
SCHWARTZ, JOSHUA NATHANIELCEO, MANAGING PARTNER, CCO, EXEC. REP.2556740
SINGER, STEVEN FREDERICFINOPS, PFO & POO2360737

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

EAST WIND SECURITIES, LLC

CRD#: 148032New York, NY 10019

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