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MW

Michael J. Whitney

FDX CAPITAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5471552
MW

Professional summary

Michael John Whitney, who also goes by Michael Whitney, Mike Whitney, is a registered financial professional currently at FDX CAPITAL LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Whitney | Mike Whitney

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 John Whitney'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 2, 2023 - Present

FDX CAPITAL LLC

Office #1: 515 Madison Avenue 24th Floor, New York, NY, 10022
BD
CRD#: 119302
New York, NY
Past

November 28, 2022 - October 31, 2023

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

April 1, 2021 - November 14, 2022

INVESTX MARKETS LLC

BD
CRD#: 148248
New York, NY
Past

March 10, 2020 - April 7, 2021

GRANT WILLIAMS L.P.

BD
CRD#: 45961
PHILADELPHIA, PA
Past

December 7, 2016 - August 27, 2020

RUSSELL INVESTMENTS

RIA
CRD#: 105734
Danville, CA
Past

December 7, 2016 - January 16, 2020

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

March 30, 2015 - August 11, 2016

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

March 1, 2013 - April 1, 2015

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WOODLAND HILLS, CA
Past

July 26, 2010 - January 7, 2013

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

June 1, 2010 - January 7, 2013

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
OAKBROOK TERRACE, IL
Past

January 25, 2008 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
OAKBROOK TERRACE, IL

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
California
(11/2/2023)
RR
Colorado
(11/2/2023)
RR
New Jersey
(11/2/2023)
RR
New York
(11/2/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/24/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/25/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FDX CAPITAL LLC
DOUGLAS FINANCIAL LLC | FDX CAPITAL LLC

CRD#: 119302 / SEC#: , 8-65170

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

Main Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Mailing Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Phone number
(888) 814-8180
Established
New Jersey since 10/10/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JAMES ALPHA HOLDINGS, LLCMANAGING MEMBER
GREENE, KEVIN ROBERTCEO1295699
MONTAGUE, MICHAELOPERATIONS OFFICER5121305
PREVEZA, DOUGLAS JOHNCHIEF COMPLIANCE OFFICER2692333
SMITH, ELIZABETH ANNEFINOP/PRINCIPAL FINANCIAL OFFICER1960549

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

FDX CAPITAL LLC

CRD#: 119302New York, NY 10022

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