ML
Michael Liguori
PRINCIPAL SECURITIES
Melville, NY 11747
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CRD#: 2025717
ML
Professional summary
Michael Liguori, who also goes by Michael J Liguori, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Melville, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Liguori
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.
INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 05/23/2023 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Liguori's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Liguori's 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®
NoneExperience
Current
May 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Current
May 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 48 S Service Rd Ste 402, Melville, NY 11747RIA
BD
CRD#: 1137
Melville, NY
Past
February 10, 2014 - May 23, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GARDEN CITY, NY
Past
December 13, 2013 - May 23, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
GARDEN CITY, NY
Past
October 1, 2012 - December 16, 2013
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
EAST ROCKAWAY, NY
Past
October 1, 2012 - December 16, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
EAST ROCKAWAY, NY
Past
November 6, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ISLAND PARK, NY
Past
November 6, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ISLAND PARK, NY
Past
December 15, 2008 - September 9, 2009
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WESTBURY, NY
Past
July 30, 2008 - December 9, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MELVILLE, NY
Past
February 1, 2008 - December 9, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MELVILLE, NY
Past
June 26, 2007 - September 18, 2007
AMERICAN CAPITAL PARTNERS, LLC
BD
CRD#: 119249
HAUPPAUGE, NY
Past
June 27, 2002 - June 26, 2007
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
NEW YORK, NY
Past
October 1, 2000 - June 28, 2002
WALTER N. FRANK & CO., LLC
BD
CRD#: 32977
NEW YORK, NY
Past
February 5, 1990 - July 28, 1994
PPN PARTNERS
BD
CRD#: 15078
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(5/15/2023)
RR
Florida(5/15/2023)
RR
Georgia(5/15/2023)
RR
Kansas(5/15/2023)
RR
New Jersey(5/23/2023)
RR
New York(5/15/2023)
IAR
New York(5/16/2023)
RR
Texas(5/15/2023)
IAR
Texas(5/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationSRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
