Michael G. Petko
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 George Petko was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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
October 7, 2015 - March 17, 2016
SII INVESTMENTS, INC.
October 7, 2015 - March 17, 2016
NATIONAL PLANNING CORPORATION
October 7, 2015 - March 17, 2016
INVESTMENT CENTERS OF AMERICA, INC.
October 7, 2015 - March 17, 2016
INVEST FINANCIAL CORPORATION
October 7, 2015 - March 17, 2016
SII INVESTMENTS, INC.
October 7, 2015 - March 17, 2016
NATIONAL PLANNING CORPORATION
October 7, 2015 - March 17, 2016
INVESTMENT CENTERS OF AMERICA, INC.
October 7, 2015 - March 17, 2016
INVEST FINANCIAL CORPORATION
May 12, 2014 - October 6, 2015
CURIAN CAPITAL, LLC
March 7, 2011 - October 6, 2015
CURIAN CLEARING, LLC
February 12, 2007 - October 25, 2010
TRANSAMERICA CAPITAL, LLC
May 4, 2000 - February 6, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 15, 1999 - March 31, 2000
AFD, INC.
May 6, 1998 - March 18, 1999
EQUITABLE DISTRIBUTORS, LLC
June 10, 1997 - April 20, 1998
STANFORD GROUP COMPANY
February 21, 1997 - June 17, 1997
KFS BD, INC.
September 11, 1996 - February 14, 1997
THE ADVISORS GROUP, INC.
May 5, 1995 - August 23, 1996
SPECTRUM CAPITAL, LLC
February 13, 1995 - May 9, 1995
SECURITIES AMERICA, INC.
December 4, 1992 - July 30, 1993
LEHMAN BROTHERS 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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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