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MM

Michael K. Marshall

I-BANKERS SECURITIES
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 860053
MM

Professional summary

Michael Keith Marshall is a registered financial professional currently at I-BANKERS SECURITIES, INC. located in Fairfield, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1978. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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 Keith Marshall'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

December 15, 2014 - Present

I-BANKERS SECURITIES, INC.

Office #1: 1261 Post Road Suite 202a, Fairfield, CT 06824
BD
CRD#: 41352
Fairfield, CT
Past

July 21, 2014 - December 27, 2018

I-BANKERS DIRECT, LLC

BD
CRD#: 167533
NEW YORK, NY
Past

January 26, 2009 - April 25, 2013

THE NORTHSTAR GROUP, INC.

BD
CRD#: 31282
GREENWICH, CT
Past

April 19, 2002 - June 2, 2008

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

November 27, 1978 - January 4, 1997

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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
Arizona
(6/9/2020)
RR
Colorado
(2/23/2023)
RR
Connecticut
(6/10/2020)
RR
Florida
(12/2/2019)
RR
Illinois
(5/28/2020)
RR
Maryland
(11/27/2019)
RR
Massachusetts
(6/4/2020)
RR
New Jersey
(6/4/2020)
RR
New York
(6/4/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/28/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

IS
I-BANKERS SECURITIES, INC.
I-BANKERS SECURITIES, INC. | MILLENNIUM FINANCIAL GROUP, INC. | IBS HOLDING CORPORATION

CRD#: 41352 / SEC#: , 8-49385

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

Main Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Mailing Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Phone number
(817) 980-9034
Established
Texas since 06/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 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#
MCCRORY, JAMES MICHAELBOARD CHAIRMAN/OWNER2366988
LEONARD, SHELLEY KAYOWNER2401474
FLORIANI, PAOLO ERMENEGILDOSHAREHOLDER2760686
LEVIN, ALAN BRUCECFO3073530
MCCLOSKEY, MATTHEW JOSEPHPRESIDENT/CEO3035438
THAYER, LARRY DANIEL JRCHIEF COMPLIANCE OFFICER4598879

Disclosures

Regulatory Event2

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

I-BANKERS SECURITIES, INC.

CRD#: 41352Fairfield, CT 06824

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