Michael J. Raso

PINEBRIDGE SECURITIES LLC

New York, NY 10022

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CRD#: 1901852

Professional summary

Michael John Raso is a registered financial professional currently at PINEBRIDGE SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Raso's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 18, 2014 - Present

PINEBRIDGE SECURITIES LLC

Office #1: 65 East 55th Street Park Avenue Tower, New York, NY 10022

CRD#: 5967

New York, NY

Past

January 2, 2014 - November 24, 2014

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BOSTON, MA

Past

August 17, 2011 - December 31, 2013

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

January 5, 2011 - July 5, 2011

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

PORTLAND, ME

Past

December 1, 2009 - October 14, 2010

FIRST DOMINION CAPITAL CORP.

CRD#: 16330

RICHMOND, VA

Past

January 22, 2007 - October 16, 2007

ARTISAN PARTNERS DISTRIBUTORS LLC

CRD#: 45446

MILWAUKEE, WI

Past

September 16, 2002 - September 5, 2006

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

February 18, 1999 - June 12, 2002

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BRAINTREE, MA

Past

December 22, 1989 - June 12, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 20, 1989 - July 26, 1989

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

January 19, 1989 - April 17, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/9/2015)

Alaska
(12/19/2014)

Arizona
(12/23/2014)

Arkansas
(12/22/2014)

California
(12/19/2014)

Colorado
(12/19/2014)

Connecticut
(12/19/2014)

Delaware
(12/19/2014)

District of Columbia
(12/19/2014)

Florida
(12/22/2014)

Georgia
(12/19/2014)

Hawaii
(12/26/2014)

Idaho
(12/19/2014)

Illinois
(12/19/2014)

Indiana
(12/19/2014)

Iowa
(12/19/2014)

Kansas
(12/19/2014)

Kentucky
(12/22/2014)

Louisiana
(12/22/2014)

Maine
(12/19/2014)

Maryland
(12/22/2014)

Massachusetts
(12/19/2014)

Michigan
(12/19/2014)

Minnesota
(12/19/2014)

Mississippi
(12/19/2014)

Missouri
(12/18/2014)

Montana
(12/19/2014)

Nebraska
(12/18/2014)

Nevada
(12/24/2014)

New Hampshire
(12/22/2014)

New Jersey
(2/10/2015)

New Mexico
(12/22/2014)

New York
(12/19/2014)

North Carolina
(12/19/2014)

North Dakota
(12/23/2014)

Ohio
(12/19/2014)

Oklahoma
(12/19/2014)

Oregon
(12/19/2014)

Pennsylvania
(12/19/2014)

Puerto Rico
(12/23/2014)

Rhode Island
(12/19/2014)

South Carolina
(1/5/2015)

South Dakota
(1/2/2015)

Tennessee
(12/19/2014)

Texas
(3/4/2015)

Utah
(12/19/2014)

Vermont
(12/22/2014)

Virginia
(12/19/2014)

Washington
(12/19/2014)

West Virginia
(1/5/2015)

Wisconsin
(12/22/2014)

Wyoming
(12/19/2014)

Exams

State Security Law Exam

Series 63

Date: 4/14/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/20/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/18/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/6/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

PINEBRIDGE SECURITIES LLC

AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.

CRD#: 5967 / SEC#: , 8-16586

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

65 East 55th Street Park Avenue Tower, New York, NY 10022

Mailing Address

65 East 55th Street Park Avenue Tower, New York, NY 10022

Phone number

(646) 857-8132

Established

Delaware since 10/01/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PINEBRIDGE INVESTMENTS HOLDINGS US LLC	SHAREHOLDER
KARPIK, MICHAEL JOHN	DIRECTOR	1709305
MORELLI, BRIAN R	CHIEF COMPLIANCE OFFICER	7366072
RAMIREZ, SERGIO DANIEL	DIRECTOR AND PRESIDENT	4637204
RUSSO, WILLIAM	TREASURER	6239019

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.

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Firm Stability Insights

Michael J. Raso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Raso's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUNDS DISTRIBUTOR, LLC

OLD MUTUAL INVESTMENT PARTNERS

FORESIDE DISTRIBUTION SOLUTIONS, LLC

FIRST DOMINION CAPITAL CORP.

ARTISAN PARTNERS DISTRIBUTORS LLC

NATIXIS DISTRIBUTION, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

HIBBARD BROWN & CO., INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/2011

Series 65

Date: 1/20/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 6

Date: 1/18/1989

Series 8

Date: 10/6/1994

FINRA

Current Firm

PINEBRIDGE SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PINEBRIDGE SECURITIES LLC

TRUST BUT VERIFY

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