Michael S. Chadwick
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 Stephan Chadwick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 9 firms and has passed the Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2018 - August 1, 2023
SP SECURITIES LLC
January 30, 2012 - March 6, 2018
SLCA CAPITAL, LLC
August 16, 2011 - January 24, 2012
SP SECURITIES LLC
March 8, 2010 - April 1, 2011
GCP SECURITIES, INC.
August 3, 1994 - January 19, 2010
SANDERS MORRIS LLC
July 8, 1992 - August 15, 1994
CHADWICK, CHAMBERS & ASSOCIATES, INC.
July 19, 1989 - July 8, 1992
CAPNET SECURITIES CORPORATION
September 1, 1987 - December 21, 1987
BOETTCHER & COMPANY, INC.
May 10, 1984 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
November 27, 1978 - May 4, 1984
UNDERWOOD, NEUHAUS & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SP SECURITIES LLC
CRD#: 130560 / SEC#: , 8-66360
Contact information
FINRA licenses (15 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
| Regulatory Event | 1 |
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.
