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Michelle E. Macdonald

Some features on this profile are disabled
CRD#: 5530490
MM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michelle Elaine Macdonald, who also goes by Michelle Elaine Kleier, Michelle Elaine Macdonald Ms., Michelle Elaine Mccormick Mrs., was a registered financial advisor .

Michelle is a previously registered financial advisor and started their career in finance in 2008. Michelle had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Elaine Kleier | Michelle Elaine Macdonald Ms. | Michelle Elaine Mccormick Mrs.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 11, 2015 - April 4, 2016

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
ORINDA, CA
Past

April 16, 2013 - September 9, 2013

KBR CAPITAL MARKETS, LLC

BD
CRD#: 128800
PALO ALTO, CA
Past

June 7, 2010 - July 8, 2011

GAMA GLOBAL INVESTMENT ADVISORS, LLC

RIA
CRD#: 153431
SAN FRANCISCO, CA
Past

October 31, 2008 - February 19, 2013

GAMA GLOBAL INVESTMENTS, LLC

BD
CRD#: 147282
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2008
General Securities Principal Examination

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

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

PENSERRA SECURITIES, LLC

CRD#: 145994

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