Michael A. Pollaccia
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 Anthony Pollaccia, who also goes by Michael Anthony, Michael Anthony Pllaccia, Michael Pollaccia, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 4 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2000 - December 1, 2000
FIRST MADISON SECURITIES, INC.
January 28, 1999 - March 8, 1999
NORTHEAST SECURITIES, LLC
August 8, 1998 - December 21, 1998
ROBERT THOMAS SECURITIES, INC
August 3, 1995 - August 13, 1998
JOSEPH CHARLES & ASSOC., 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
Current Firm
FIRST MADISON SECURITIES, INC.
CRD#: 38820 / SEC#: , 8-48429
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 5 |
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.
