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Michael Ploshnick

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CRD#: 1014589
MP

Professional summary

Michael Ploshnick was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Michael had worked at 3 firms, which includes INTESA SANPAOLO IMI SECURITIES CORP., MEYERS POLLOCK ROBBINS INC., MABON NUGENT & CO..

top-8-questions

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)

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

April 30, 1991 - July 5, 1991

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

April 11, 1991 - April 6, 1998

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

September 3, 1982 - April 30, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617

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
RR
Series 63
Date: 4/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/28/1981
Financial and Operations Principal Examination

Current Firm

IS
INTESA SANPAOLO IMI SECURITIES CORP.
BANCA IMI SECURITIES CORP. | INTESA SANPAOLO IMI SECURITIES CORP. | IMI SECURITIES CORPORATION | EURAM SECURITIES CORPORATION

CRD#: 19418 / SEC#: , 8-37444

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

Main Address
1 William Street, New York, NY 10004
Mailing Address
1 William Street, New York, NY 10004
Phone number
(212) 326-1100
Established
Delaware since 12/01/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IMI CAPITAL MARKETS USA CORPORATIONSOLE SHAREHOLDER
AMOROSO, PAOLO GLAUCOCORPORATE SECRETARY7870609
BURIOLI, NOVELLADIRECTOR7874990
DIBELLA, VINCENTCHIEF FINANCIAL OFFICER/ TREASURER2587408
LUCCHINI, STEFANODIRECTOR7889772
MARRAS, STEFANOCEO/DIRECTOR7322813
PARISI, RICHARD ANTHONYCHIEF OPERATIONS OFFICER4668388
RUIZ, JEFFREY ACHIEF COMPLIANCE OFFICER2562825
SEGNI, LAURADIRECTOR7890924

Disclosures

Regulatory Event11
Criminal1
Civil Event1

Red Flags

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Company Information

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

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