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Michael E Block

Third Seven Capital LLC

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About Michael E Block

Michael Block is a financial professional with over 15 years of experience in the securities industry. Michael is currently registered with Third Seven Capital LLC in New York, NY. Michael has held previous positions with Ladenburg Thalmann & Co. Inc., Rhino Trading Partners, LLC, PPG West LLC, Phoenix Derivatives Group, LLC, and Salomon Smith Barney Inc. Michael has a wide range of experience in the financial industry, and is committed to providing clients with the highest level of service and expertise.

Firm Information

Michael Block is currently registered with Third Seven Capital LLC. Third Seven Capital LLC is a Limited Liability Company formed on July 6, 2011, with a status of Approved. The firm is registered in all 50 states and the District of Columbia, as well as Puerto Rico and the Virgin Islands. Third Seven Capital LLC has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

34

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 Block’s Registration & Firm History

NY

06/13/2018 - Present

Third Seven Capital LLC (NEW YORK NY)

NY

05/21/2018 - 06/12/2018

LADENBURG THALMANN & CO. INC. (NEW YORK NY)

NY

05/10/2013 - 05/17/2018

RHINO TRADING PARTNERS, LLC (NEW YORK NY)

NY

02/13/2013 - 05/06/2013

PPG WEST LLC (NEW YORK NY)

NY

04/14/2010 - 05/06/2013

PHOENIX DERIVATIVES GROUP, LLC (NEW YORK NY)

NY

08/25/1997 - 08/30/1999

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/21/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/14/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 07/14/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/29/2011

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/27/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 04/26/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 04/13/2010

Series 7 - General Securities Representative Examination

BC

Issued 12/23/1997

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Michael E Block. Review regulatory record here.
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