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Michael Joseph Petrucelli

CRD# 2289994·Registered 1992 - 2012
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Joseph Petrucelli was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1992 - 2012. Michael had worked at 7 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

ALLY SECURITIES LLC·CRD# 25988
BD
Chicago, IL
August 31, 2011 - February 27, 2012
GLEACHER & COMPANY SECURITIES, INC.·CRD# 298
BD
Chicago, IL
November 13, 2008 - August 23, 2011
OPPENHEIMER & CO. INC.·CRD# 249
BD
Stamford, CT
September 24, 2008 - October 27, 2008
LEHMAN SPECIAL SECURITIES INC.·CRD# 7242
BD
January 1, 1994 - July 18, 1994
LEHMAN GOVERNMENT SECURITIES INC.·CRD# 19655
BD
January 1, 1994 - October 23, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
January 1, 1994 - September 17, 2008
FIRST EMPIRE SECURITIES, INC.·CRD# 15129
BD
Hauppauge, NY
October 29, 1992 - December 10, 1993

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Current Firm

AS
ALLY SECURITIES LLC

ALLY SECURITIES LLC | RESIDENTIAL FUNDING SECURITIES, LLC | RESIDENTIAL FUNDING SECURITIES, L.L.C. | RESIDENTIAL FUNDING SECURITIES CORPORATION

CRD#: 25988 / SEC#: 8-42417
BD
Terminated by SEC on 01/30/2017

Contact Information

Established

Delaware since 06/01/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLY FINANCIAL INC.PARENT—
BEATON, DANIEL STEWARTCHIEF FINANCIAL OFFICER4240769
HALSEY, KURT STUARTPRESIDENT/CEO/COO4282242
HOLLAND, DAVIDMEMBER OF BOARD OF DIRECTORS6392922
RHODES, DEBORAH LAURAGENERAL COUNSEL/ASSISTANT SECRETARY6392194
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993
TIMMERMAN, DOUGLAS RICHARDMEMBER OF BOARD OF DIRECTORS6427349

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1992About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Apr 2008About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Oct 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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