MM
Michael J. Mcwalters
CITIZENS JMP SECURITIES
Stamford, CT 06901
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CRD#: 4812189
MM
Professional summary
Michael Joseph Mcwalters, who also goes by Michael Mcwalters, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in Stamford, Connecticut.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Mcwalters
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 Joseph Mcwalters'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
August 1, 2023 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 600 Washington Blvd.,, Stamford, CT 06901BD
CRD#: 22208
Stamford, CT
Past
January 12, 2018 - August 1, 2023
CITIZENS CAPITAL MARKETS
BD
CRD#: 277073
STAMFORD, CT
Past
July 20, 2005 - October 29, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW CANAAN, CT
Past
July 20, 2005 - October 29, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW CANAAN, CT
Past
November 8, 2004 - June 20, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NEW HAVEN, CT
Past
September 3, 2004 - June 20, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Alabama(8/1/2023)
RR
Alaska(8/1/2023)
RR
Arizona(8/1/2023)
RR
Arkansas(8/1/2023)
RR
California(8/1/2023)
RR
Colorado(8/1/2023)
RR
Connecticut(8/1/2023)
RR
Delaware(8/1/2023)
RR
District of Columbia(8/1/2023)
RR
Florida(8/1/2023)
RR
Georgia(8/1/2023)
RR
Hawaii(8/1/2023)
RR
Idaho(8/1/2023)
RR
Illinois(8/1/2023)
RR
Indiana(8/1/2023)
RR
Iowa(8/1/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/1/2023)
RR
Louisiana(8/1/2023)
RR
Maine(8/1/2023)
RR
Maryland(8/1/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/1/2023)
RR
Minnesota(8/1/2023)
RR
Mississippi(8/1/2023)
RR
Missouri(8/1/2023)
RR
Montana(8/1/2023)
RR
Nebraska(8/1/2023)
RR
Nevada(8/1/2023)
RR
New Hampshire(8/1/2023)
RR
New Jersey(8/1/2023)
RR
New Mexico(8/1/2023)
RR
New York(8/1/2023)
RR
North Carolina(8/1/2023)
RR
North Dakota(8/1/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/1/2023)
RR
Oregon(8/1/2023)
RR
Pennsylvania(8/1/2023)
RR
Rhode Island(8/1/2023)
RR
South Carolina(8/1/2023)
RR
South Dakota(8/1/2023)
RR
Tennessee(8/1/2023)
RR
Texas(8/1/2023)
RR
Utah(8/1/2023)
RR
Vermont(8/1/2023)
RR
Virginia(8/1/2023)
RR
Washington(8/1/2023)
RR
West Virginia(8/1/2023)
RR
Wisconsin(8/1/2023)
RR
Wyoming(8/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS
CRD#: 22208 / SEC#: , 8-39613
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
