Michael L. Defeo

APOLLO GLOBAL SECURITIES

New York, NY 10019-2701

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CRD#: 2154733

Professional summary

Michael Lyons Defeo, who also goes by Michael Lyons De Feo, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Lyons De Feo

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 Lyons Defeo'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

July 31, 2024 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701

CRD#: 153502

New York, NY

Past

August 12, 2021 - May 7, 2024

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

November 15, 2016 - February 26, 2021

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

EXETER, NH

Past

November 15, 2016 - February 26, 2021

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

EXETER, NH

Past

March 9, 2011 - May 2, 2016

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

January 3, 2011 - May 2, 2016

NUVEEN SECURITIES, LLC

CRD#: 469

EXETER, NH

Past

October 13, 2010 - January 5, 2011

U.S. BANCORP ASSET MANAGEMENT, INC.

RIA

CRD#: 111912

MINNEAPOLIS, MN

Past

January 2, 2009 - January 3, 2011

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

April 20, 2006 - November 25, 2008

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

May 25, 2004 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

May 23, 2003 - November 25, 2008

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

May 13, 2002 - June 9, 2003

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

March 28, 2000 - November 12, 2001

FORESIDE ASSOCIATES, LLC

CRD#: 13494

PORTLAND, ME

Past

December 2, 1998 - March 6, 2000

RESRV PARTNERS, INC.

CRD#: 10273

NEW YORK, NY

Past

June 14, 1995 - September 2, 1998

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

June 16, 1994 - May 9, 1995

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

April 1, 1993 - November 22, 1993

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

October 22, 1991 - April 12, 1993

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

NEW YORK, NY

Past

July 10, 1991 - September 17, 1991

OXFORD CAPITAL SECURITIES, INC.

CRD#: 19568

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
(7/31/2024)

Alaska
(7/31/2024)

Arizona
(7/31/2024)

Arkansas
(7/31/2024)

California
(7/31/2024)

Colorado
(7/31/2024)

Connecticut
(7/31/2024)

Delaware
(7/31/2024)

District of Columbia
(7/31/2024)

Florida
(7/31/2024)

Georgia
(7/31/2024)

Hawaii
(7/31/2024)

Idaho
(7/31/2024)

Illinois
(7/31/2024)

Indiana
(7/31/2024)

Iowa
(7/31/2024)

Kansas
(7/31/2024)

Kentucky
(7/31/2024)

Louisiana
(7/31/2024)

Maine
(7/31/2024)

Maryland
(7/31/2024)

Massachusetts
(7/31/2024)

Michigan
(7/31/2024)

Minnesota
(7/31/2024)

Mississippi
(7/31/2024)

Missouri
(7/31/2024)

Montana
(7/31/2024)

Nebraska
(7/31/2024)

Nevada
(7/31/2024)

New Hampshire
(7/31/2024)

New Jersey
(7/31/2024)

New Mexico
(7/31/2024)

New York
(7/31/2024)

North Carolina
(7/31/2024)

North Dakota
(7/31/2024)

Ohio
(8/1/2024)

Oklahoma
(7/31/2024)

Oregon
(7/31/2024)

Pennsylvania
(7/31/2024)

Puerto Rico
(7/31/2024)

Rhode Island
(7/31/2024)

South Carolina
(7/31/2024)

South Dakota
(7/31/2024)

Tennessee
(7/31/2024)

Texas
(7/31/2024)

Utah
(7/31/2024)

Vermont
(7/31/2024)

Virgin Islands
(7/31/2024)

Virginia
(7/31/2024)

Washington
(7/31/2024)

West Virginia
(7/31/2024)

Wisconsin
(7/31/2024)

Wyoming
(7/31/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/12/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/9/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

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

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

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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Advisor Monitoring

Firm Stability Insights

Michael L. Defeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Lyons Defeo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANZ LIFE FINANCIAL SERVICES, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

U.S. BANCORP ASSET MANAGEMENT, INC.

QUASAR DISTRIBUTORS, LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

FORESIDE DISTRIBUTION SERVICES, L.P.

FORESIDE ASSOCIATES, LLC

RESRV PARTNERS, INC.

DEAM INVESTOR SERVICES, INC.

NEUBERGER BERMAN MANAGEMENT LLC

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN MANAGEMENT LLC

OXFORD CAPITAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2004

Series 65

Date: 11/9/1992

Series 63

Date: 7/2/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/2/1992

Series 6

Date: 7/9/1991

Series 24

Date: 1/20/1998

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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