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MS

Michael A. Sparacino

MATRIX EXECUTIONS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5280937
MS

Professional summary

Michael Andrea Sparacino, who also goes by Michael A Sparacino, is a registered financial professional currently at MATRIX EXECUTIONS, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael A Sparacino

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 Andrea Sparacino'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

November 3, 2023 - Present

MATRIX EXECUTIONS, LLC

Office #1: 141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
BD
CRD#: 38455
Chicago, IL
Past

July 24, 2019 - March 21, 2022

MATRIX EXECUTIONS, LLC

BD
CRD#: 38455
New York, NY
Past

March 30, 2015 - March 11, 2019

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
New York, NY
Past

February 3, 2015 - March 26, 2015

BUCKLEY & YOUNG, LLC

BD
CRD#: 139690
RYE, NY
Past

February 3, 2015 - March 31, 2015

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

October 7, 2008 - February 4, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

February 28, 2008 - October 14, 2008

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
NEW YORK, NY
Past

October 4, 2007 - October 9, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, 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
Colorado
(11/3/2023)
RR
Connecticut
(11/3/2023)
RR
Delaware
(11/3/2023)
RR
Florida
(11/3/2023)
RR
Georgia
(11/3/2023)
RR
Hawaii
(11/3/2023)
RR
Illinois
(11/3/2023)
RR
Maryland
(11/3/2023)
RR
Massachusetts
(11/3/2023)
RR
Minnesota
(11/3/2023)
RR
Missouri
(11/3/2023)
RR
Nevada
(11/3/2023)
RR
New Jersey
(11/3/2023)
RR
New York
(11/3/2023)
RR
Pennsylvania
(11/3/2023)
RR
South Carolina
(11/3/2023)
RR
Texas
(11/3/2023)
RR
Virginia
(11/3/2023)
RR
Wisconsin
(11/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/10/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/3/2007
General Securities Representative Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

ME
MATRIX EXECUTIONS, LLC
ITG DERIVATIVES LLC. | YOURTRADE.COM SECURITIES, INC. | REDSKY SECURITIES, LLC | REDSKY SECURITIES, INC. | REDSKY FINANCIAL, LLC | MATRIX EXECUTIONS, LLC | LAKE KATHERINE SECURITIES, LTD.

CRD#: 38455 / SEC#: , 8-48255

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

Main Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Mailing Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Phone number
(312) 334-8040
Established
Illinois since 02/14/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MATRIX EXECUTIONS HOLDINGS, LLCMEMBER
GREENBERG, ALLEN DAVIDCHIEF OPERATIONS OFFICER1423999
NAYLOR, JORDAN WILLIAMCHIEF EXECUTIVE OFFICER2502309
RAZA, ZOHAIBCHIEF FINANCIAL OFFICER/FINOP7049272
WILLIAMS, JETAUN JENICECHIEF COMPLIANCE OFFICER & AMLCO3257770

Disclosures

Regulatory Event9

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

MATRIX EXECUTIONS, LLC

CRD#: 38455Chicago, IL 60604

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