AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
MR

Michael Rackers

CRD# 6807517·Registered 2021 - 2024
Previously Registered: Being a previously registered professional could mean that Michael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Michael Rackers, who also goes by Michael Ethan Rackers, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2021 - 2024. Michael had worked at 1 firm and has passed the Series 63, Series 87, Series 86, Series 7TO and SIE exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Ethan Rackers

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

5 years in the financial services industry

Current & Past Employments

NEEDHAM & COMPANY, LLC·CRD# 16360
BD
Minnetonka, MN
November 2, 2021 - March 4, 2024

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

N&
NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

250 Park Avenue 10th Floor, New York, NY 10177

Mailing Address

250 Park Avenue 10th Floor, New York, NY 10177

Phone Number

(212) 371-8300

Established

Delaware since 04/04/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

# of Employees

195

SEC notice filing (5 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEEDHAM HOLDINGS, LLCMEMBER—
IACOVONE, JACK JAMESMANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING2877398
PRIOR, JOHN JOSEPH JRMANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.1076802
ABBRUZZESE, JAMES MICHAELMANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES2960715
FIORDALISO, ROBERT JOSEPHMANAGING DIRECTOR, CHIEF FINANCIAL OFFICER2518397
LAUFER, DAVID MICHAELMANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING4336854
MALIK, ANDREW JOSEPHMANAGING DIRECTOR, CHAIRMAN317860
MALLOY, JOHN PATRICKMANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH5322002
MALONEY, THOMAS ANTHONYMANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH2386331
MERLINO, SALVATORE ANTHONYMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER4397078

Disclosures

Regulatory Event

27

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2021About the Series 63 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Mar 2022About the Series 87 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Mar 2022About the Series 86 exam

Series 7TO — General Securities Representative Examination

Passed Nov 2021About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Aug 2021About the SIE exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
MR
Follow Michael
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required