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MM

Michael N. Millard

PICKWICK CAPITAL PARTNERS
Stamford, CT 06906
Some features on this profile are disabled
CRD#: 717199
MM

Professional summary

Michael N Millard, who also goes by Michael N Millard, Michael Nettleton Millard, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in Stamford, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 50 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael N Millard | Michael Nettleton Millard

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 N Millard'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

May 2, 2023 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 666 Glenbrook Road, Suite Lla, Stamford, CT 06906
BD
CRD#: 130672
Stamford, CT
Past

January 25, 2017 - April 29, 2022

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
Stamford, CT
Past

May 10, 2001 - February 17, 2017

CEVIDICA SECURITIES GROUP LLC

BD
CRD#: 104422
GREENWICH, CT
Past

August 24, 1992 - February 5, 1996

FIRST SENTINEL SECURITIES LTD.

BD
CRD#: 5876
NORWALK, CT

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
California
(5/15/2023)
RR
Connecticut
(5/2/2023)
RR
New York
(5/15/2023)
RR
Ohio
(5/15/2023)
RR
Texas
(5/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 8/31/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 12/19/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PICKWICK CAPITAL PARTNERS, LLC
JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

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

Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Phone number
(914) 358-3269
Established
Delaware since 08/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 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#
GREENWOOD, DOUGLAS CHARLES WILLIAMPRESIDENT1192611
DANOVITCH, DAVID EMANAGING PRINCIPAL, GENERAL COUNSEL3013350
KAPLOWITZ, JAYMEMBER
ROSE, JOHN IRVING IIMEMBER2790640
WU, CHIH-CHUNMEMBER5704739
FJC CAPITAL INC.OWNER
VAN SCHAACK, JOHN GREGORYMEMBER1121171
ABRAMCZYK, JANE ECCO4801666
ACCESS MEDIA ADVISORY LLCMEMBER
GENDRON, KAREN MARIEFINOP1503330

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

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672Stamford, CT 06906

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