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Michael J. Rowe

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CRD#: 4816510
MR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael J Rowe was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 87 and Series 86 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 31, 2014 - July 18, 2016

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

BD
CRD#: 129772
HOUSTON, TX
Past

November 4, 2009 - July 23, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
HOUSTON, TX

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: 12/23/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 12/12/2013
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 11/27/2013
Research Analyst Exam - Part I Analysis Module

Current Firm

TP
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
PICKERING ENERGY PARTNERS, INC. | TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC | TUDOR, PICKERING, HOLT & CO. SECURITIES, INC. | TUDOR, PICKERING, HOLT & CO. | TUDOR, PICKERING & CO. SECURITIES, INC. | TPH&CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH&CO. | TPH & CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH & CO. | PWP SECURITIES

CRD#: 129772 / SEC#: , 8-66251

BD
Terminated by SEC on 02/09/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PERELLA WEINBERG PARTNERS GROUP LPOWNER
GOTTSCHALK, ALEXANDRA KATHLEENPARTNER, CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5864478
POLEMENI, MARK ANDREW ESQGLOBAL CHIEF COMPLIANCE OFFICER & CHIEF REGULATORY COUNSEL5070584

Disclosures

Regulatory Event3

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

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

CRD#: 129772

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