Michael Paul Moise
Professional Summary
Michael Paul Moise is a registered financial advisor currently at ARBOR RESEARCH & TRADING, LLC located in Lake Barrington, Illinois. Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
ARBOR RESEARCH & TRADING, | HART CAPITAL MANAGEMENT | FIXED INCOME PARTNERS, INC. | ARBOR TRADING GROUP, INC. | ARBOR RESEARCH & TRADING, LLC | ARBOR RESEARCH & TRADING, INC.
Contact Information
Main Address
22333 Classic Court, Lake Barrington, IL 60010Mailing Address
22333 Classic Court, Lake Barrington, IL 60010Phone Number
(847) 304-1550Established
Delaware since 06/28/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | — |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(2/16/2021)
(5/12/2023)
(2/16/2021)
(5/12/2023)
(6/2/2011)
(2/16/2021)
(2/16/2021)
(2/16/2021)
(1/16/2026)
(2/16/2021)
(2/16/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Paul Moise's CRS (Customer Relationship Summary).
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