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TP

Tracey A. Poissant

MCM SECURITIES LLC
Troy, NY 12180
Some features on this profile are disabled
CRD#: 6965068
TP

Professional summary

Tracey Ann Poissant, who also goes by Tracey Poissant, is a registered financial professional currently at MCM SECURITIES LLC located in Troy, New York.

Tracey is registered as a RR (Registered Representative) and started their career in finance in 2018. Tracey has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracey Poissant

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 Tracey Ann Poissant'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

October 18, 2018 - Present

MCM SECURITIES LLC

Office #1: 300 Jordan Road, Troy, NY 12180
BD
CRD#: 41571
Troy, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/18/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MCM SECURITIES LLC
MCM SECURITIES LLC

CRD#: 41571 / SEC#: , 8-49496

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

Main Address
300 Jordan Road, Troy, NY 12180
Mailing Address
300 Jordan Road, Troy, NY 12180
Phone number
(518) 687-7390
Established
Delaware since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 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#
MILLENNIUM CREDIT MARKETS LLCOWNER
AXELROD, KEITH STUARTCHIEF COMPLIANCE OFFICER5769637
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS PRINCIPAL2246513
PETERSON, JOHN ALGOTCHIEF EXECUTIVE OFFICER2096386

Disclosures

Regulatory Event1

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

MCM SECURITIES LLC

CRD#: 41571Troy, NY 12180

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