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Michael C. Morton

Some features on this profile are disabled
CRD#: 7813520
MM

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 Christopher Morton was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2023. Michael had worked at 4 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

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

Past

December 23, 2023 - June 13, 2024

ICE SECURITIES EXECUTION & CLEARING, LLC

BD
CRD#: 299634
Atlanta, GA
Past

December 23, 2023 - June 13, 2024

ICE BONDS SECURITIES CORPORATION

BD
CRD#: 123635
Atlanta, GA
Past

December 23, 2023 - June 13, 2024

ARCHIPELAGO TRADING SERVICES, INC.

BD
CRD#: 15853
Atlanta, GA
Past

December 23, 2023 - June 13, 2024

ARCHIPELAGO SECURITIES L.L.C.

BD
CRD#: 102500
Atlanta, GA

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
Series 99TO
Date: 1/8/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/22/2023
Financial and Operations Principal Examination

Current Firm

IS
ICE SECURITIES EXECUTION & CLEARING, LLC
ICE SECURITIES EXECUTION & CLEARING, LLC | ICE SECURITIES EXECUTION AND CLEARING, LLC

CRD#: 299634 / SEC#: , 8-70258

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
1345 6th Avenue 8th Floor, New York, NY 10105
Mailing Address
1345 6th Avenue 6th Floor, New York, NY 10105
Phone number
(914) 313-4250
Established
Delaware since 10/04/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICE ETF HUB, LLCSHAREHOLDER
MCKISSICK, JOHN JOSEPHPRESIDENT AND PRINCIPAL OPERATIONS OFFICER4939416
MESSINA, MATTHEW ANTHONYCHIEF COMPLIANCE OFFICER6082432
THOMASSON, SEAN JOSEPHPRINCIPAL FINANCIAL OFFICER/FINOP5124423

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

ICE SECURITIES EXECUTION & CLEARING, LLC

CRD#: 299634

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