Michael J. Vega
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 J Vega, who also goes by Michael James Vega, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE 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
August 5, 2022 - April 27, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
May 17, 2022 - May 23, 2023
LPL FINANCIAL LLC
May 17, 2022 - May 23, 2023
LPL FINANCIAL LLC
September 14, 2020 - May 19, 2022
CUNA BROKERAGE SERVICES, INC.
September 14, 2020 - May 19, 2022
CUNA BROKERAGE SERVICES, INC.
January 13, 2012 - September 4, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2012 - September 4, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 1997 - January 13, 2012
CHASE INVESTMENT SERVICES CORP.
August 2, 1994 - January 13, 2012
CHASE INVESTMENT SERVICES CORP.
January 4, 1993 - August 2, 1994
KEY INVESTMENTS INC.
April 10, 1992 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
August 30, 1991 - April 21, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
January 27, 1989 - September 10, 1991
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - February 9, 1989
LEHMAN BROTHERS INC.
July 6, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 13, 1986 - June 24, 1987
UBS FINANCIAL SERVICES INC.
January 21, 1986 - March 20, 1986
KUHNS BROTHERS & LAIDLAW, 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
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
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.
