Michael Abrego
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 Abrego, who also goes by Michael Anthony Abrego, Mike Abrego, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, 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
September 2, 2020 - July 29, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
September 1, 2020 - July 29, 2022
FIRST COMMAND ADVISORY SERVICES
April 18, 2016 - October 1, 2018
KESTRA ADVISORY SERVICES, LLC
February 14, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
May 19, 2011 - October 1, 2018
KESTRA INVESTMENT SERVICES, LLC
March 25, 2010 - April 30, 2011
NEXT FINANCIAL GROUP, INC.
November 4, 2008 - December 18, 2008
CETERA INVESTMENT SERVICES LLC
October 31, 2008 - December 18, 2008
GUARANTY BROKERAGE SERVICES, INC.
April 5, 2007 - October 31, 2008
MOMENTUM INDEPENDENT NETWORK INC.
January 21, 2004 - April 10, 2007
GUARANTY BROKERAGE SERVICES, INC.
April 9, 1991 - October 29, 2002
CHARLES SCHWAB & CO., INC.
September 21, 1989 - October 3, 1990
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 8/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| 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.
