Michael A. Tedesco
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 Angelo Tedesco was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 11 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 4, 2009 - February 1, 2018
INVEST FINANCIAL CORPORATION
April 5, 2004 - October 20, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
May 21, 2001 - April 6, 2004
CAPITAL ONE INVESTMENT SERVICES LLC
May 25, 1999 - September 20, 2000
ESSEX NATIONAL SECURITIES, LLC
May 24, 1999 - May 16, 2001
LASALLE FINANCIAL SERVICES, INC.
January 19, 1995 - June 2, 1999
INVEST FINANCIAL CORPORATION
May 15, 1993 - January 30, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1993 - March 30, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
January 4, 1993 - March 23, 1993
CITICORP INVESTMENT SERVICES
January 12, 1990 - January 18, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 12, 1990 - January 18, 1993
PRUCO SECURITIES, LLC.
December 23, 1986 - August 22, 1989
MORGAN STANLEY DW 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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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