Michel L. Sommer
Professional summary
Michel Loren Sommer, who also goes by Mike Sommer, is a registered financial professional currently at INTERACTIVE BROKERS LLC located in Greenwich, Connecticut.
Michel is registered as a RR (Registered Representative) and started their career in finance in 2004. Michel has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 57, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michel Loren Sommer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2022 - Present
INTERACTIVE BROKERS LLC
Office #1: Pickwick Plaza, Greenwich, CT 06830December 5, 2019 - April 6, 2022
PERSHING LLC
December 5, 2019 - April 6, 2022
BNY MELLON CAPITAL MARKETS, LLC
May 13, 2016 - December 3, 2019
DEUTSCHE BANK SECURITIES INC.
October 15, 2008 - December 3, 2015
VALLEY FINANCIAL MANAGEMENT, INC.
September 4, 2008 - December 3, 2015
VALLEY FINANCIAL MANAGEMENT, INC.
August 1, 2005 - June 20, 2008
BELLE HAVEN INVESTMENTS, L.P.
July 20, 2004 - June 20, 2008
BELLE HAVEN INVESTMENTS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 92 |
| Arbitration | 26 |
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.
