Michael S. Delgado
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 Stewart Delgado, who also goes by Michael S. Delgado, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 11 firms and has passed the Series 66, Series 63, Series 3, Series 15, Series 5, Series 7, Series 8 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
November 29, 2004 - February 29, 2012
STATE FARM VP MANAGEMENT CORP.
October 22, 2002 - July 14, 2004
STATE FARM VP MANAGEMENT CORP.
November 30, 2001 - June 14, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
February 8, 2001 - June 8, 2001
SENTRA SECURITIES CORPORATION
July 6, 2000 - December 15, 2000
1ST GLOBAL CAPITAL CORP.
August 5, 1997 - August 20, 1998
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 1997 - August 20, 1998
MSI FINANCIAL SERVICES, INC.
December 19, 1995 - April 15, 1997
LPL FINANCIAL LLC
January 21, 1994 - October 24, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 2, 1992 - February 3, 1994
BA INVESTMENT SERVICES, INC.
May 10, 1988 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
April 19, 1983 - May 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 15
Date: 12/13/1984
Foreign Currency Options ExaminationSeries 5
Date: 5/18/1983
Interest Rate Options ExaminationSeries 8
Date: 3/20/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
