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MG

Michael Grabner

RABO SECURITIES USA
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7899358
MG

Professional summary

Michael Grabner is a registered financial professional currently at RABO SECURITIES USA, INC. located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2024. Michael has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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) - BD

Click below to view Michael Grabner's 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

September 26, 2024 - Present

RABO SECURITIES USA, INC.

Office #1: 150 North Riverside Plaza Suite 2000, Chicago, IL 60606
BD
CRD#: 122657
Chicago, IL
Past

August 22, 2024 - September 24, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHICAGO, IL

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
Illinois
(9/26/2024)
RR
New York
(9/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/22/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/10/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RABO SECURITIES USA, INC.
RABO SECURITIES USA, INC. | RABO SECURITIES USA, INCORPORATED

CRD#: 122657 / SEC#: , 8-65525

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

Main Address
151 West 42nd Street 8th Floor, New York, NY 10036
Mailing Address
151 West 42nd Street 8th Floor, New York, NY 10036
Phone number
(212) 808-2548
Established
Delaware since 03/22/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
UTRECHT-AMERICA HOLDINGS, INCSOLE SHAREHOLDER
AMIN, SHREYASECRETARY7368182
BASSETT, DAVID FRANCISCHAIRMAN2802027
CHESTER, WILLIAM PETERDIRECTOR5868288
DEMAZURE PELLETIER, CHRISTINE MARIEDIRECTOR5481370
KITTEL, CHRISTOPHER FREDERICKCHIEF COMPLIANCE OFFICER2718043
KORMANEK, SHAWN PATRICKDIRECTOR7310810
LAMPER, KATHERINE SDIRECTOR5202959
LAZAROV, DUSAN OBRADDIRECTOR7904295
MARTENS, ANDREA MARIEFINANCIAL AND OPERATIONS PRINCIPAL1187593
PASDAR, NADERCHIEF EXECUTIVE OFFICER AND DIRECTOR4702711

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

RABO SECURITIES USA, INC.

CRD#: 122657Chicago, IL 60606

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