Michael S. Cucciniello
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 Steven Cucciniello, who also goes by Michael Steven Cycciniello, Michael S Cyccinielto, Michael Cucciniello, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 19 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2022 - October 26, 2023
CITIZENS SECURITIES, INC.
November 28, 2016 - June 28, 2018
HSBC SECURITIES (USA) INC.
November 25, 2016 - June 28, 2018
HSBC SECURITIES (USA) INC.
October 30, 2012 - November 28, 2016
TD AMERITRADE, INC.
October 30, 2012 - November 28, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 30, 2012 - November 28, 2016
TD AMERITRADE, INC.
April 30, 2012 - October 22, 2012
HARRISDIRECT LLC
April 30, 2012 - October 22, 2012
E*TRADE SECURITIES LLC
January 19, 2012 - April 18, 2012
AEGIS CAPITAL CORP.
January 19, 2012 - April 18, 2012
AEGIS CAPITAL CORP.
March 5, 2010 - January 27, 2012
TD AMERITRADE, INC.
March 5, 2010 - January 27, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 24, 2009 - January 27, 2012
TD AMERITRADE, INC.
March 2, 2009 - December 9, 2009
SETON SECURITIES GROUP, INC.
January 18, 2005 - October 31, 2007
MAXIM GROUP LLC
September 2, 2003 - January 18, 2005
BROKERAGEAMERICA, LLC
January 13, 2003 - May 21, 2003
PARAGON CAPITAL MARKETS, INC.
November 26, 1999 - December 2, 2002
APEX CLEARING CORPORATION
March 25, 1999 - November 29, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 7, 1999 - April 14, 1999
ALL-TECH DIRECT, INC.
August 19, 1997 - August 27, 1998
J.P. TURNER & COMPANY, L.L.C.
January 1, 1994 - August 14, 1997
COWEN EXECUTION SERVICES LLC
December 22, 1993 - January 1, 1994
EXECUTION SERVICES INCORPORATED
October 4, 1993 - December 19, 1993
MURIEL SIEBERT & CO., LLC
March 29, 1993 - August 2, 1993
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
Series 55
Date: 3/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
