Michael J. Bregier
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 John Bregier, who also goes by Mike Bregier, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 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
June 28, 2002 - April 30, 2021
STATE FARM VP MANAGEMENT CORP.
January 30, 1998 - May 13, 2002
CETERA INVESTMENT SERVICES LLC
January 22, 1998 - May 13, 2002
CETERA INVESTMENT SERVICES LLC
October 5, 1993 - January 21, 1998
FIDELITY BROKERAGE SERVICES LLC
August 12, 1992 - September 27, 1993
FIDELITY DISTRIBUTORS COMPANY LLC
December 20, 1988 - August 6, 1992
FIDELITY BROKERAGE SERVICES LLC
May 25, 1988 - August 6, 1992
FIDELITY BROKERAGE SERVICES LLC
June 8, 1987 - October 12, 1988
FIDELITY BROKERAGE SERVICES LLC
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: 12/21/1995
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
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