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Michael D. Madden

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CRD#: 848031
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 Daniel Madden was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 40 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)

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

April 22, 2015 - September 30, 2016

EQUUS FINANCIAL CONSULTING LLC

BD
CRD#: 131449
NEW CANAAN, CT
Past

November 1, 2010 - April 26, 2013

PROBITAS FUNDS GROUP, LLC

BD
CRD#: 115876
NEW YORK, NY
Past

March 1, 2004 - February 3, 2010

G.C. ANDERSEN PARTNERS CAPITAL, LLC

BD
CRD#: 44631
NEW YORK, NY
Past

April 29, 2002 - May 15, 2002

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

August 30, 2000 - May 13, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 17, 1998 - June 13, 2000

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

July 3, 1997 - March 21, 1999

THE BEACON GROUP CAPITAL SERVICES, L.L.C.

BD
CRD#: 35349
NEW YORK, NY
Past

January 23, 1995 - January 11, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 3, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 22, 1989 - October 14, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 19, 1978 - March 13, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

January 27, 1978 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488

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

State Security Law Exam
RR
Series 63
Date: 2/10/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/20/1978
Registered Principal Examination

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

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

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449

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