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Mike Fadel

SIEBERT WILLIAMS SHANK & CO.
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 6647372
MF

Professional summary

Mike Fadel, who also goes by Mohammed Adel Fadel, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Chicago, Illinois.

Mike is registered as a RR (Registered Representative) and started their career in finance in 2019. Mike has worked at 1 firm and has passed the Series 63, SIE and Series 52TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mohammed Adel Fadel

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 Mike Fadel's CRS (Customer Relationship Summary).
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

September 6, 2019 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 625 N. Michigan Avenue Suite 2350, Chicago, IL 60611
BD
CRD#: 42568
CHICAGO, 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
Illinois
(12/20/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52TO
Date: 12/6/2018
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

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

Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHANK WILLIAMS CISNEROS, LLCOWNER
CALABRISOTTO, DIANNE NMNAML OFFICER1273900
CALABRISOTTO, DIANNE NMNCHIEF COMPLIANCE OFFICER & COO1273900
CHANDA, ATEESH SINGHCHIEF LEGAL OFFICER6973151
DIAZ, DANIELFINANCIAL PRINCIPAL2214417
HALL, GARYCO-PRESIDENT4393662
SHANK-WERDLOW, SUZANNE FRANCESCEO, DIRECTOR OF PARENT1860931
THOMPSON, WILLIAM COLRIDGE JRCHIEF ADMINISTRATIVE OFFICER2316101
WARNER, SOBANI MULENGACO-PRESIDENT1732009

Disclosures

Regulatory Event4

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

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568Chicago, IL 60611

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