Michael John Tario
Professional Summary
Michael John Tario was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1974 - 2011. Michael had worked at 17 firms and has passed the Series 63, Series 5, Series 1, Series 14, Series 24, Series 12 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
52 years in the financial services industry
Current & Past Employments
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Current Firm
BNY BROKERAGE INC. | ESI SECURITIES COMPANY | COWEN EXECUTION SERVICES LLC | CONVERGEX EXECUTION SOLUTIONS LLC | BNY ESI & CO., INC. | BNY CONVERGEX EXECUTION SOLUTIONS LLC | BNY BROKERAGE LLC
Contact Information
Established
Delaware since 09/27/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | — |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | — |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Dec 1975Series 12 — NYSE Branch Manager Examination
Passed Feb 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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