Michael D. Misegadis
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 Don Misegadis was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 63, Series 65, 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 23, 2011 - November 4, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 24, 2008 - July 30, 2009
AMERITAS INVESTMENT COMPANY, LLC
February 12, 2007 - July 30, 2009
AMERITAS INVESTMENT COMPANY, LLC
September 1, 2004 - September 20, 2006
ALFS, INC.
September 13, 2002 - December 6, 2002
AFD, INC.
January 4, 2001 - July 25, 2002
AMERITAS INVESTMENT COMPANY, LLC
October 29, 1998 - January 13, 2001
ALLSTATE FINANCIAL SERVICES, LLC
May 30, 1997 - October 29, 1998
AFD, INC.
September 16, 1993 - January 1, 1994
WWK INVESTMENTS, INC.
January 7, 1992 - October 19, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 7, 1992 - October 19, 1993
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
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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