Michael E. Dockendorf

PEAKSTONE SECURITIES

Chicago, IL 60607

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CRD#: 834115

Professional summary

Michael Edward Dockendorf is a registered financial advisor currently at PEAKSTONE SECURITIES, LLC located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1977. Michael has worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 15, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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 Edward Dockendorf's CRS (Customer Relationship Summary).

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

May 25, 2016 - Present

PEAKSTONE SECURITIES, LLC

Office #1: 550 West Van Buren Street Suite 1460, Chicago, IL 60607

CRD#: 157146

Chicago, IL

Past

March 1, 2013 - May 2, 2016

SIKICH CORPORATE FINANCE LLC

CRD#: 149024

CHICAGO, IL

Past

December 21, 2012 - February 4, 2013

PEAKSTONE SECURITIES, LLC

CRD#: 157146

CHICAGO, IL

Past

November 18, 2011 - November 27, 2012

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

CHICAGO, IL

Past

November 18, 2011 - November 27, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

September 27, 2004 - December 7, 2011

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

CHICAGO, IL

Past

September 27, 2004 - December 7, 2011

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHICAGO, IL

Past

January 17, 2003 - October 27, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

CHICAGO, IL

Past

January 17, 2003 - October 27, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 13, 1998 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

CHICAGO, IL

Past

June 4, 1997 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

January 28, 1995 - June 4, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 5, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 14, 1988 - October 5, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 23, 1987 - May 26, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

June 26, 1984 - August 6, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 22, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

August 29, 1977 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

CRD#: 514

Past

March 1, 1977 - October 7, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(5/25/2016)

New York
(6/15/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/8/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 9/14/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

PEAKSTONE SECURITIES, LLC

CRD#: 157146 / SEC#: , 8-68835

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Mailing Address

550 West Van Buren Street Suite 1460, Chicago, IL 60607

Phone number

(312) 346-7318

Established

Illinois since 02/17/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FRIDMAN, ALEX	MEMBER	4580424
SLEIGH, STEPHEN ROBERT	CEO, MEMBER	2466141
TEMPLE, JEFFREY WILLIAM	MEMBER	5905932
ALVAREZ, ENRIQUE	CFO / FINOP	4622342
BROWN, EVAN MICHAEL	CHIEF COMPLIANCE OFFICER, AMLCO	6563464

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.

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Advisor Monitoring

Firm Stability Insights

Michael E. Dockendorf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Dockendorf's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIKICH CORPORATE FINANCE LLC

PEAKSTONE SECURITIES, LLC

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

J.P. MORGAN SECURITIES LLC

L. F. ROTHSCHILD & CO. INCORPORATED

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INCORPORATED

BACHE HALSEY STUART INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/1994

Series 63

Date: 9/20/1979

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 6/8/1984

Series 7

Date: 2/19/1977

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 9/14/1984

FINRA

Current Firm

PEAKSTONE SECURITIES, LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PEAKSTONE SECURITIES, LLC

TRUST BUT VERIFY

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