Michael T. Defigio
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 Tory Defigio was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1982. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2009 - December 22, 2020
TRUSTMONT FINANCIAL GROUP, INC.
October 31, 2005 - July 27, 2009
OSAIC SERVICES, INC.
May 23, 2001 - December 31, 2002
SUNAMERICA SECURITIES, INC.
September 21, 1995 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 18, 1993 - December 31, 1993
BEACONSFIELD FINANCIAL SERVICES, INC.
March 16, 1990 - January 21, 1991
THE ADVISORS GROUP, INC.
November 7, 1988 - December 5, 1989
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
February 16, 1985 - September 28, 1988
FINANCIAL INVESTMENT ANALYSTS, INC.
April 19, 1983 - February 20, 1985
MANAGED INVESTMENTS, INC.
March 25, 1982 - February 8, 1985
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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