Michael G. Millard
Professional summary
Being a previously registered professional could mean that this person 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.
Michael Gerard Millard, who also goes by Gerard Michael Millard, Michael G Millard, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2019 - May 27, 2020
CFWP SECURITIES, LLC
May 23, 2019 - January 23, 2024
CANTOR FITZGERALD & CO.
October 31, 2017 - May 23, 2019
CFWP SECURITIES, LLC
January 1, 2006 - February 21, 2006
CHARTER ONE SECURITIES, INC.
January 1, 2006 - November 2, 2015
CITIZENS SECURITIES, INC.
May 5, 2003 - April 13, 2005
MBSC, LLC
August 27, 1996 - April 13, 2005
BNY MELLON SECURITIES CORPORATION
February 13, 1996 - May 17, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
April 11, 1988 - July 24, 1995
UBS FINANCIAL SERVICES INC.
March 3, 1988 - May 12, 1988
CIBC WORLD MARKETS CORP.
June 10, 1986 - March 24, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
May 7, 1984 - June 10, 1986
FINANCIAL SQUARE PARTNERS
November 23, 1981 - May 14, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
January 19, 1981 - December 26, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 5/13/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
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.
