Michael S. Gagliano
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 Salvatore Gagliano was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2012 - December 3, 2012
MERCAP SECURITIES, LLC
April 5, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 5, 2005 - August 20, 2010
MSI FINANCIAL SERVICES, INC.
January 8, 2004 - January 18, 2005
W&S BROKERAGE SERVICES, INC.
April 5, 2001 - May 7, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
October 17, 2000 - March 7, 2001
USALLIANZ SECURITIES, INC.
November 11, 1999 - September 26, 2000
MONY SECURITIES CORPORATION
January 17, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 17, 1992 - November 15, 1999
PRUCO SECURITIES, 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
Current Firm
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
