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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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Ferraro's CRS (Customer Relationship Summary).
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 12, 2020 - Present

LIGHT HORSE SECURITIES, INC

Office #1: 330 7th Ave Suite 902, New York, NY 10001
BD
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
RR
Series 63
Date: 8/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional 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: 4/8/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/19/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2019
General Securities Principal Examination
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)
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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)

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#
AINVEST HOLDING CORP.OWNER
FERRARO, MICHAELVP OF OPERATIONS5321027
GILMAN, ROBERT CRAIGFINOP/PFO/POO1738412
SULEYMANOV, MIKHAILCCO6537970
WANG, XINGCEO5326713

Disclosures

Regulatory Event2

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

LIGHT HORSE SECURITIES, INC

CRD#: 120242New York, NY 10001

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