Michael J. Acierno
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 Joseph Acierno was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2009 - February 2, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 22, 1994 - July 22, 1994
BARNETT INVESTMENTS, INC.
October 16, 1992 - March 28, 1994
INVEST FINANCIAL CORPORATION
September 20, 1991 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
July 19, 1991 - October 23, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
September 20, 1990 - July 30, 1991
MORGAN STANLEY DW INC.
August 19, 1987 - October 17, 1990
LEHMAN BROTHERS INC.
May 8, 1987 - August 25, 1987
GALLAGHER & CO.
December 18, 1984 - February 11, 1986
PRESTIGE INVESTORS, INC.
October 22, 1984 - December 17, 1984
CHESLEY AND DUNN, INC.
June 15, 1984 - October 29, 1984
J. W. GANT & ASSOCIATES, INC.
March 1, 1983 - June 6, 1984
FIRST FINANCIAL SECURITIES, INC.
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
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| BRADLEY, DUANGPHAT | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6103741 |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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