Michael P. Collins

CAIS CAPITAL LLC

NEW YORK, NY 10022

Some features on this profile are disabled

CRD#: 5366193

Professional summary

Michael Patrick Collins is a registered financial professional currently at CAIS CAPITAL LLC 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 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 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 Patrick Collins'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

July 11, 2022 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022

CRD#: 154512

NEW YORK, NY

Past

February 10, 2021 - July 8, 2022

WEDBUSH SECURITIES INC.

CRD#: 877

New York, NY

Past

June 16, 2020 - February 1, 2021

EVERCORE GROUP L.L.C.

CRD#: 42405

NEW YORK, NY

Past

December 11, 2013 - June 20, 2019

SAFRA SECURITIES LLC

CRD#: 47873

NEW YORK, NY

Past

November 15, 2007 - November 14, 2013

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

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
(7/11/2022)

Texas
(7/11/2022)

Exams

State Security Law Exam

Series 63

Date: 1/11/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/18/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/24/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

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

527 Madison Avenue 2nd Floor, New York, NY 10022

Mailing Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Phone number

(212) 300-9350

Established

Delaware since 07/27/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL INTEGRATION SYSTEMS LLC	PARENT/OWNER
BROWN, MATTHEW CRAWFORD	CEO/MEMBER/EXECUTIVE REP.	2160159
COLLINS, MICHAEL PATRICK	CCO	5366193
KRZAK, ALEXANDER JACOB	POO	6349160
PARISE, JANICE DRU	FINOP/PFO	2338583
PREMSELAAR, MARC KLEIN	SENIOR MANAGING DIRECTOR	5395973
SHANNON, TIMOTHY BRIAN	PRESIDENT	4461906
WALKER, BRADLEY JAY	SENIOR MANAGING DIRECTOR	5000838

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael P. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Patrick Collins's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

EVERCORE GROUP L.L.C.

SAFRA SECURITIES LLC

DAVID LERNER ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/2008

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2007

Series 53

Date: 9/18/2012

Series 24

Date: 10/24/2008

FINRA

Current Firm

CAIS CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAIS CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors