MF
Michael Ferraro
LIGHT HORSE SECURITIES,
New York, NY 10001
Some features on this profile are disabled
CRD#: 5321027
MF
Professional summary
Michael Ferraro, who also goes by Michael R Ferraro, Michael Robert Ferraro, is a registered financial professional currently at LIGHT HORSE SECURITIES, INC located in New York, 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 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael R Ferraro | Michael Robert Ferraro
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 Ferraro'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
November 12, 2020 - Present
LIGHT HORSE SECURITIES, INC
Office #1: 330 7th Ave Suite 902, New York, NY 10001BD
CRD#: 120242
New York, NY
Past
May 1, 2018 - January 3, 2020
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
BD
CRD#: 104369
New York, NY
Past
April 8, 2008 - May 7, 2018
LIGHTSPEED TRADING, LLC
BD
CRD#: 35519
NEW YORK, NY
Past
April 17, 2007 - August 29, 2007
ECHOTRADE LLC
BD
CRD#: 42239
PHOENIX, AZ
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
Alabama(4/29/2022)
RR
Alaska(5/9/2022)
RR
Arizona(5/2/2022)
RR
Arkansas(4/11/2022)
RR
California(2/24/2022)
RR
Colorado(3/9/2022)
RR
Connecticut(2/24/2022)
RR
Delaware(3/23/2022)
RR
District of Columbia(6/2/2022)
RR
Florida(5/23/2023)
RR
Georgia(5/3/2022)
RR
Hawaii(4/5/2022)
RR
Idaho(2/24/2022)
RR
Illinois(5/25/2022)
RR
Indiana(5/16/2022)
RR
Iowa(2/24/2022)
RR
Kansas(4/20/2022)
RR
Kentucky(2/24/2022)
RR
Louisiana(2/24/2022)
RR
Maine(5/3/2022)
RR
Maryland(4/12/2022)
RR
Massachusetts(6/27/2022)
RR
Michigan(5/24/2022)
RR
Minnesota(5/3/2022)
RR
Mississippi(2/24/2022)
RR
Missouri(4/25/2022)
RR
Montana(5/3/2022)
RR
Nebraska(5/5/2022)
RR
Nevada(5/3/2022)
RR
New Hampshire(5/18/2022)
RR
New Jersey(6/6/2022)
RR
New Mexico(5/9/2022)
RR
New York(11/12/2020)
RR
North Carolina(2/25/2022)
RR
North Dakota(5/9/2022)
RR
Ohio(4/20/2022)
RR
Oklahoma(2/24/2022)
RR
Oregon(4/19/2022)
RR
Pennsylvania(2/24/2022)
RR
Puerto Rico(5/13/2022)
RR
Rhode Island(2/24/2022)
RR
South Carolina(5/3/2022)
RR
South Dakota(5/3/2022)
RR
Tennessee(4/21/2022)
RR
Texas(7/11/2022)
RR
Utah(2/24/2022)
RR
Vermont(4/19/2022)
RR
Virgin Islands(6/24/2022)
RR
Virginia(5/10/2022)
RR
Washington(5/10/2022)
RR
West Virginia(5/2/2022)
RR
Wisconsin(5/3/2022)
RR
Wyoming(4/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/8/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LH
LIGHT HORSE SECURITIES, INC
AINVEST FINANCIAL, INC. | LIGHT HORSE SECURITIES, INC | LIGHT HORSE MARKET SOLUTIONS, INC, | LIGHT HORSE MARKET SOLUTIONS INC | B&T ASSET MANAGEMENT | B & T SECURITIES, INC.
CRD#: 120242 / SEC#: , 8-65270
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
330 7th Ave Suite 902, New York, NY 10001
Mailing Address
330 7th Ave Suite 902, New York, NY 10001
Phone number
(646) 330-4718
Established
Florida since 01/11/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
