Michael D. Vazquez
Professional summary
Michael Daniel Vazquez, CIMA®, who also goes by Michael D Vazquez, Michael D. Vazquez, Michael Daniel Vazquez, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2013. Michael has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 57, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Daniel Vazquez's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902August 10, 2023 - January 14, 2025
DWS DISTRIBUTORS, INC.
April 13, 2022 - April 27, 2023
BLACKROCK INVESTMENT MANAGEMENT, LLC
April 13, 2022 - April 27, 2023
BLACKROCK INVESTMENTS, LLC
June 2, 2020 - April 13, 2022
PIMCO INVESTMENTS LLC
January 14, 2016 - May 27, 2020
PROSPERA FINANCIAL SERVICES, INC.
January 7, 2016 - May 27, 2020
PROSPERA FINANCIAL SERVICES, INC.
June 24, 2015 - November 18, 2015
J.P. MORGAN SECURITIES LLC
June 23, 2015 - November 18, 2015
J.P. MORGAN SECURITIES LLC
April 17, 2015 - June 3, 2015
FOREFRONT CAPITAL MARKETS LLC
June 3, 2014 - August 25, 2014
NATIONAL SECURITIES CORPORATION
December 23, 2013 - May 20, 2014
ALEXANDER CAPITAL, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/10/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
(4/9/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
