Profile
Mr. Sulfaro joined Ticonderoga Securities LLC in August 2009.
He has extensive years experience working in both Trading and Compliance Departments for large and small Broker-Dealers and Investment Banks.
He started his career in the Securities Industry in 1992 as a Fixed Income Broker for Herzog, Heine, and Geduld on the NYSE Bond Floor.
In 1997, he joined Prudential Securities Wexford Clearing Division as an Institutional Equity and Options Trader, and eventually became a Trading Desk Compliance Manager.
Mr. Sulfaro moved to C.E.
Unterberg, Towbin LLC in 2004 to revamp and reinforce the Firm's compliance policies and procedures, where he assumed the role of CCO for the Broker-Dealer and CEUT Advisers, a Registered Investment Adviser.
In 2007, he went to Dresdner Kleinwort Securities LLC, where he worked as a Senior Compliance Officer in the Capital Markets Division.
In preparation of the merger between Dresdner Bank AG and Commerzbank AG, he was appointed Chief Compliance Officer of Dresdner Kleinwort Securities LLC.
After the completion of the merger in early 2009, he served as CCO of both Dresdner Kleinwort Securities LLC and Commerzbank Capital Markets Corp.
Mr. Sulfaro also has a Masters Degree in Business Management and currently holds the FINRA Series 4, 7, 14, 24, 55, 63, and 87 registrations.
Former positions of Michael Sulfaro
| Companies | Position | End |
|---|---|---|
Ticonderoga Securities LLC
 Ticonderoga Securities LLC Investment Banks/BrokersFinance Founded in 1979 as Reynders Gray & Co., Inc., Ticonderoga Securities LLC is an SEC-registered broker/dealer headquartered in New York City. The firm is a subsidiary of GEROVA Financial Group Ltd. (NYSE: GFC), a specialty reinsurance company based in St. George, Cayman Islands. In May 2009, Ticonderoga Securities acquired Reynders, Gray & Co., Inc. and in May 2011, they acquired Soleil Securities Corp. Ticonderoga Securities focuses on domestic and international equities and with emphasis on high quality, order execution, as well as a differentiated research offering to support their execution capabilities. The firm's analysis focuses primarily on the following sectors: basic materials, capital goods/industrials, consumer, energy, financials, healthcare, strategy/policy, technology, transportation and utilities. The firm clears their equity business through National Financial Services Corp., a wholly-owned, guaranteed subsidiary of the Fidelity organization and their fixed-income business through Pershing LLC, a BNY Mellon company. | Corporate Officer/Principal | 2012-03-31 |
Commerzbank Capital Markets Corp.
 Commerzbank Capital Markets Corp. Investment Banks/BrokersFinance Part of Commerzbank AG, Commerzbank Capital Markets Corp. is a company that provides security broker services. The company is based in New York, NY. | Corporate Officer/Principal | - |
Dresdner Kleinwort Securities LLC
 Dresdner Kleinwort Securities LLC Investment Banks/BrokersFinance Dresdner Kleinwort Securities LLC is a broker/dealer located in New York City. They are a subsidiary of Dresdner Kleinwort Wasserstein and their ultimate parent is Commerzbank AG | Corporate Officer/Principal | - |
C.E. Unterberg, Towbin Holdings, Inc.
 C.E. Unterberg, Towbin Holdings, Inc. Investment ManagersFinance Part of Canaccord Genuity Group, Inc., C.E. Unterberg, Towbin Holdings, Inc. provides financial advisory services. The company is based in New York, NY. | Corporate Officer/Principal | - |
| Prudential Securities | Corporate Officer/Principal | - |
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| Private companies | 5 |
|---|---|
Ticonderoga Securities LLC
Ticonderoga Securities LLC Investment Banks/BrokersFinance Founded in 1979 as Reynders Gray & Co., Inc., Ticonderoga Securities LLC is an SEC-registered broker/dealer headquartered in New York City. The firm is a subsidiary of GEROVA Financial Group Ltd. (NYSE: GFC), a specialty reinsurance company based in St. George, Cayman Islands. In May 2009, Ticonderoga Securities acquired Reynders, Gray & Co., Inc. and in May 2011, they acquired Soleil Securities Corp. Ticonderoga Securities focuses on domestic and international equities and with emphasis on high quality, order execution, as well as a differentiated research offering to support their execution capabilities. The firm's analysis focuses primarily on the following sectors: basic materials, capital goods/industrials, consumer, energy, financials, healthcare, strategy/policy, technology, transportation and utilities. The firm clears their equity business through National Financial Services Corp., a wholly-owned, guaranteed subsidiary of the Fidelity organization and their fixed-income business through Pershing LLC, a BNY Mellon company. | Finance |
| Prudential Securities | Finance |
C.E. Unterberg, Towbin Holdings, Inc.
C.E. Unterberg, Towbin Holdings, Inc. Investment ManagersFinance Part of Canaccord Genuity Group, Inc., C.E. Unterberg, Towbin Holdings, Inc. provides financial advisory services. The company is based in New York, NY. | Finance |
Dresdner Kleinwort Securities LLC
Dresdner Kleinwort Securities LLC Investment Banks/BrokersFinance Dresdner Kleinwort Securities LLC is a broker/dealer located in New York City. They are a subsidiary of Dresdner Kleinwort Wasserstein and their ultimate parent is Commerzbank AG | Finance |
Commerzbank Capital Markets Corp.
Commerzbank Capital Markets Corp. Investment Banks/BrokersFinance Part of Commerzbank AG, Commerzbank Capital Markets Corp. is a company that provides security broker services. The company is based in New York, NY. | Finance |
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