Michael C. Konnos
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 Charles Konnos, who also goes by Michael C Konnos, Michael Charles Konnos, Micheal Konnos, Mike C Konnos, Mike Konnos, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2024 - March 13, 2025
VANGUARD MARKETING CORPORATION
July 15, 2013 - October 1, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2013 - October 1, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2012 - January 28, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 4, 2009 - September 17, 2012
E*TRADE SECURITIES LLC
October 22, 2008 - January 5, 2009
NATIONAL PENSION & GROUP CONSULTANTS, INC
November 20, 2006 - June 28, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 19, 2006 - October 24, 2006
CHASE INVESTMENT SERVICES CORP.
April 4, 2006 - June 22, 2006
CHARLES SCHWAB & CO., INC.
January 23, 2004 - November 15, 2005
FIDELITY BROKERAGE SERVICES LLC
June 12, 2003 - December 19, 2003
PFS INVESTMENTS INC.
November 6, 1995 - July 5, 2001
CHARLES SCHWAB & CO., INC.
August 31, 1995 - November 16, 1995
IDS LIFE INSURANCE COMPANY
August 31, 1995 - November 16, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
April 14, 1989 - May 25, 1989
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 7TO
Date: 8/15/2024
General Securities Representative ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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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