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MD

Michael C. Davis

Some features on this profile are disabled
CRD#: 4865849
MD

Professional summary

Michael Christopher Davis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Michael had worked at 7 firms, which includes ALLIED MILLENNIAL PARTNERS LLC, COLUMBUS ADVISORY GROUP LTD., WINDSOR STREET CAPITAL LP, ALEXANDER CAPITAL L.P., NATIONAL SECURITIES CORPORATION, E*TRADE SECURITIES LLC, OPPENHEIMER & CO. INC..

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

September 30, 2019 - December 11, 2019

ALLIED MILLENNIAL PARTNERS, LLC

BD
CRD#: 16569
NEW YORK, NY
Past

October 30, 2015 - February 4, 2016

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

June 16, 2015 - October 1, 2015

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
Hackensack, NJ
Past

February 8, 2013 - October 30, 2013

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

November 12, 2009 - March 1, 2011

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

October 22, 2007 - May 2, 2008

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

December 8, 2004 - November 7, 2005

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

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: 12/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/3/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2013
General Securities Principal Examination

Current Firm

AM
ALLIED MILLENNIAL PARTNERS, LLC
ALLIED MILLENNIAL PARTNERS, LLC | LANGDON, SHAW & BREWER SECURITIES, INC. | LANGDON SHAW SECURITIES, INC. | LANGDON & SHAW SECURITIES, INC. | INDIANA SECURITIES, INC. | EJ STERLING STRATEGIC WEALTH MANAGEMENT | EJ STERLING INC | E.J. STERLING, LLC

CRD#: 16569 / SEC#: , 8-34176

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

Main Address
Three World Financial Center 200 Vesey Street 24th Fl, New York, NY 10281
Mailing Address
Three World Financial Center 200 Vesey Street 24th Fl, New York, NY 10281
Phone number
(646) 532-2400
Established
New York since 09/09/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
JPED HOLDINGS LLCHOLDING COMPANY
ABBRUZZESE, EMILY COPELANDFINANCIAL AND OPERATIONS PRINCIPAL4606343
JOHNSON, KAY ALISONCHIEF COMPLIANCE OFFICER1583193
PARMIGIANI, JOHNCEO, PRESIDENT AS OF 11/20152800410

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

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