Michael J. Pazzani

OBERON SECURITIES

New York, NY 10022

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CRD#: 4939585

Professional summary

Michael Joseph Pazzani is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 7 firms and has passed the Series 63, Series 79TO, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Joseph Pazzani'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®

None

Experience

Current

December 18, 2019 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022

CRD#: 132598

New York, NY

Past

January 16, 2014 - March 25, 2015

KUHNS BROTHERS SECURITIES CORPORATION

CRD#: 47331

LIME ROCK, CT

Past

April 24, 2009 - February 1, 2013

CELADON FINANCIAL GROUP LLC

CRD#: 36538

CHATHAM, NJ

Past

August 2, 2007 - April 29, 2009

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

March 24, 2006 - April 17, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

October 5, 2005 - October 18, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 5, 2005 - October 18, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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

New York
(12/8/2022)

Oregon
(12/7/2022)

Exams

State Security Law Exam

Series 63

Date: 1/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/16/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 55

Date: 11/29/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/4/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

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

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Contact information

Main Address

445 Park Avenue, Suite 4b, New York, NY 10022

Mailing Address

445 Park Avenue, Suite 4b, New York, NY 10022

Phone number

(212) 386-7080

Established

New York since 04/11/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OBERON MANAGEMENT, LLC	MEMBER
BRESLAWSKY, ADAM SCOTT	MANAGER	2522542
EPSTEIN, ELAD	FINOP, MANAGER, ACO	2731183
SCHMIDT, NICOLE ALEXANDRA	CCO, MANAGER	2686117

Red Flags

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Michael J. Pazzani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Pazzani's CRS (Customer Relationship Summary).

Certified licenses

Experience

KUHNS BROTHERS SECURITIES CORPORATION

CELADON FINANCIAL GROUP LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

COMMONWEALTH FINANCIAL NETWORK

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2020

Series 79TO

Date: 12/16/2019

Series 55

Date: 11/29/2008

Series 7

Date: 10/4/2005

Series 24

Date: 11/12/2009

FINRA

Current Firm

OBERON SECURITIES, LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OBERON SECURITIES, LLC

TRUST BUT VERIFY

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