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Michael David Mainwald

Velocity Clearing, LLC

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About Michael David Mainwald

Michael Mainwald has been in the securities industry since November 9, 1996. Michael currently works for Velocity Clearing, LLC. Michael previously worked for LEK SECURITIES CORPORATION and VISTA SECURITIES INC. Michael is registered in Florida, New Jersey, and New York.

Firm Information

Michael Mainwald is currently registered with Velocity Clearing, LLC. Velocity Clearing, LLC is a Limited Liability Company formed in June 2010 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC and has been involved in 4 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

87

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Mainwald’s Registration & Firm History

NY

09/09/2022 - Present

Velocity Clearing, LLC (New York NY)

NY

11/25/1997 - 08/17/2022

LEK SECURITIES CORPORATION (NEW YORK NY)

NY

07/08/1996 - 08/13/1997

VISTA SECURITIES INC. (GARDEN CITY NY)

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Licenses & Designations

BC

Issued 07/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/03/2005

Series 24 - General Securities Principal Examination

BC

Issued 12/03/2002

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2001

Series 3 - National Commodity Futures Examination

BC

Issued 12/13/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/03/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael David Mainwald.
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