Michael D. Legoski
Professional summary
Michael David Legoski was barred by 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 1984. Prior to being barred, Michael had worked at 2 firms, which includes INVESCO DISTRIBUTORS INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1986 - December 31, 2003
INVESCO DISTRIBUTORS, INC.
July 6, 1984 - January 27, 1986
FORESTERS FINANCIAL SERVICES, 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
INVESCO DISTRIBUTORS, INC.
CRD#: 289 / SEC#: , 8-2856
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO | SOLE SHAREHOLDER OF IDI | 106529 |
| CAROME, KEVIN MICHAEL | DIRECTOR, VICE PRESIDENT | 4307331 |
| HAWLEY, DAWN MARIE | TREASURER, VICE PRESIDENT | 1771748 |
| MAYO, OFELIA MARINA | GENERAL COUNSEL, VICE PRESIDENT | 1682909 |
| MOSS, LISA ANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2722352 |
| NEEDLES, GENE LOUIS JR | PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER | 1068224 |
| STARLING-KLATT, REBECCA ALLISON | CHIEF COMPLIANCE OFFICER | 2385771 |
| WILLIAMSON, MARK HURST | DIRECTOR, CHAIRMAN | 820997 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
Red Flags
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