Michael Roizman

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CRD#: 4502751

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 Roizman, who also goes by Micheal Roizman, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Micheal Roizman

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

March 21, 2023 - October 2, 2024

PHX FINANCIAL, INC.

CRD#: 144403

Fort Lauderdale, FL

Past

May 29, 2020 - March 17, 2021

ARIVE CAPITAL MARKETS

CRD#: 8060

Bay Ridge, NY

Past

January 31, 2020 - June 25, 2020

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

GREAT NECK, NY

Past

October 11, 2018 - December 20, 2019

WYNSTON HILL CAPITAL, LLC

CRD#: 103811

BRANDON, SD

Past

June 13, 2018 - August 2, 2018

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

New York, NY

Past

May 2, 2016 - March 29, 2017

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

November 19, 2015 - April 14, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

STATEN ISLAND, NY

Past

May 20, 2013 - September 30, 2015

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

September 22, 2008 - May 20, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

September 12, 2007 - September 19, 2008

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

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

Series 63

Date: 10/18/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/21/2023

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 8/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2007

General Securities Representative Examination

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

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 Roizman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARIVE CAPITAL MARKETS

NETWORK 1 FINANCIAL SECURITIES INC.

WYNSTON HILL CAPITAL, LLC

WORDEN CAPITAL MANAGEMENT LLC

SPARTAN CAPITAL SECURITIES, LLC

FIRST STANDARD FINANCIAL COMPANY LLC

SPARTAN CAPITAL SECURITIES, LLC

JOHN THOMAS FINANCIAL

EKN FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2007

Series 7TO

Date: 3/21/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 8/2/2018

Series 7

Date: 9/11/2007

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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