Michael N Millard
Professional Summary
Michael N Millard, who also goes by Michael N Millard, Michael Nettleton Millard, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael N Millard, Michael Nettleton Millard
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
JAVELIN SECURITIES, LLC | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC
Contact Information
Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Phone Number
(914) 358-3269Established
Delaware since 08/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | — |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | — |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | — |
| PIDLIPCHAK, JOHN ADAM | FINOP | 5496984 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
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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.
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State Registrations and Notice Filings
(5/15/2023)
(5/2/2023)
(5/15/2023)
(5/15/2023)
(5/15/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Aug 2017About the Series 50 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael N Millard's CRS (Customer Relationship Summary).
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