MS
Michael Sanocki
RQD* CLEARING
New York, NY 10007
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CRD#: 6681188
MS
Professional summary
Michael Sanocki is a registered financial professional currently at RQD* CLEARING, LLC 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 2 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 14 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Sanocki'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®
NoneExperience
Current
November 3, 2017 - Present
RQD* CLEARING, LLC
Office #1: One World Trade Center Suite 47m, New York, NY 10007Office #2: One World Trade Center Suite 47m, New York, NY 10007BD
CRD#: 134284
New York, NY
Past
October 27, 2016 - August 17, 2023
VOLANT LIQUIDITY, LLC
BD
CRD#: 150063
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
Minnesota(8/22/2022)
RR
New Jersey(8/6/2021)
RR
New York(7/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/30/2018
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RQD* CLEARING, LLC
COMPASS PROFESSIONAL SERVICES, LLC | VOLANT SECURITIES, LLC | VOLANT EXECUTION, LLC | RQD* CLEARING, LLC | EQUITEC COMPASS, LLC | COMPASS SERVICES, LLC
CRD#: 134284 / SEC#: , 8-66826
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One World Trade Center Suite 47m, New York, NY 10007
Mailing Address
One World Trade Center Suite 47m, New York, NY 10007
Phone number
(646) 804-7900
Established
Delaware since 02/19/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
