Michael J. Muniga
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 Muniga, who also goes by Michael Joesph Muniga, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2020 - August 30, 2021
LIFEMARK SECURITIES CORP.
November 4, 2020 - August 30, 2021
LIFEMARK SECURITIES CORP.
January 2, 2008 - November 6, 2018
TD AMERITRADE, INC.
January 2, 2008 - November 6, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 31, 2007 - November 6, 2018
TD AMERITRADE, INC.
January 19, 2007 - August 3, 2007
LIFEMARK SECURITIES CORP.
November 4, 2004 - April 11, 2005
J.P. TURNER & COMPANY, L.L.C.
May 4, 1989 - August 18, 2004
CHARLES SCHWAB & CO., INC.
September 7, 1988 - April 28, 1989
AMERIPRISE ADVISOR SERVICES, INC.
March 9, 1987 - June 28, 1988
QUICK & REILLY, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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 8
Date: 4/13/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
