MM
Michael A. Mooney
VELOCITY CLEARING
Purchase, NY 10577
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CRD#: 5314808
MM
Professional summary
Michael Alexander Mooney is a registered financial professional currently at VELOCITY CLEARING, LLC located in Purchase, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 4 firms and has passed the Series 63, Series 82TO, Series 57TO, SIE, Series 55 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Alexander Mooney'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
March 31, 2021 - Present
VELOCITY CLEARING, LLC
Office #1: 287 Bowman Avenue Riverview At Purchase, Purchase, NY 10577BD
CRD#: 126588
Purchase, NY
Past
May 9, 2019 - March 31, 2021
RISE FINANCIAL SERVICES, LLC
BD
CRD#: 146103
NEW YORK, NY
Past
October 2, 2007 - May 7, 2019
CLEARVIEW TRADING ADVISORS, INC.
BD
CRD#: 142873
NEW YORK, NY
Past
June 14, 2007 - October 2, 2007
BROADBAND CAPITAL MANAGEMENT, LLC
BD
CRD#: 48001
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
Arizona(3/31/2021)
RR
California(3/31/2021)
RR
Connecticut(3/31/2021)
RR
Delaware(3/31/2021)
RR
Florida(3/31/2021)
RR
Illinois(3/31/2021)
RR
Iowa(3/31/2021)
RR
Kansas(3/31/2021)
RR
Maryland(3/31/2021)
RR
Massachusetts(3/31/2021)
RR
Minnesota(1/5/2023)
RR
Missouri(3/31/2021)
RR
Nebraska(3/31/2021)
RR
New Jersey(3/31/2021)
RR
New York(3/31/2021)
RR
North Carolina(3/31/2021)
RR
Ohio(3/31/2021)
RR
Pennsylvania(3/31/2021)
RR
South Carolina(3/31/2021)
RR
Texas(3/31/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/16/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
VC
VELOCITY CLEARING, LLC
GUARDIAN TRADING | VELOCITY PRIME SERVICES | VELOCITY EXECUTION SERVICES | VELOCITY CLEARING, LLC | QUANTEX CLEARING, LLC | NYFIX SECURITIES LLC | NYFIX SECURITIES CORPORATION | NYFIX CLEARING CORPORATION
CRD#: 126588 / SEC#: , 8-65894
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Mailing Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Phone number
(201) 706-7157
Established
Delaware since 06/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
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.
