Michael Francis Dockman
Professional Summary
Michael Francis Dockman was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2012 - 2024. Michael had worked at 1 firm and has passed the Series 99TO, SIE, Series 79 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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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
AMA SECURITIES INC. | WEB CD SECURITIES, INC. | PARADIGM INTERNATIONAL SECURITIES, INC. | OPTIMIZEUSA SECURITIES INC. | IDC SECURITIES CORP.(SR) | IDC SECURITIES CORP. | IDC SECURITES CORP. | AMA SECURITIES LLC
Contact Information
Main Address
484 Pacific Street 3rd Floor, Stamford, CT 06902Mailing Address
484 Pacific Street 3rd Floor, Stamford, CT 06902Phone Number
(212) 682-3344Established
New York since 07/02/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2012About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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