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MP

Michael M. Peterson

CITCO SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6648415
MP

Professional summary

Michael Morgan Peterson is a registered financial professional currently at CITCO SECURITIES INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael Morgan Peterson's 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

November 18, 2016 - Present

CITCO SECURITIES INC.

Office #1: 350 Park Avenue 29th Floor, New York, NY 10022
BD
CRD#: 153974
New York, NY

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
New York
(3/21/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 3/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CITCO SECURITIES INC.
CITCO SECURITIES INC. | CITCO SECURITIES, INC.

CRD#: 153974 / SEC#: , 8-68601

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

Main Address
20 Toronto Street 10th Floor, Toronto, Ontario, M5C 2B8
Mailing Address
151 Yonge Street 8th Floor, Toronto, Ontario, M5C 2W7
Phone number
(647) 260-6555
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CITCO FINANCIAL PRODUCTS (LONDON) LIMITEDSHAREHOLDER
CASE, SCOTT RUSSELLCEO2579107
CHIN, PHYLLIS NYUK FAHFINOP/CFO6250921
CULLINANE, JOHN REIDCHIEF COMPLIANCE OFFICER5003588
IRAUSQUIN, RONALD FERDINANDDIRECTOR6429179
MISTRY, NITIN AMBUBHAIDIRECTOR6961705
QUÊME, NICOLAS MAURICE RAYMONDDIRECTOR6865554

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

CITCO SECURITIES INC.

CRD#: 153974New York, NY 10022

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