Michael R. Pineda

LIFEMARK SECURITIES

Denver, CO

Some features on this profile are disabled

CRD#: 2337780

Professional summary

Michael Rodger Pineda, who also goes by Michael R Pineda, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Denver, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael R Pineda

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.

independent insurance agent, investment related, 2068 North Emerson St, Denver, CO 80205, sales & service of life insurance, began January 2014, 8 hrs/mo & 3hrs/mo during trading hrs, sales & service of life insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Rodger Pineda's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Rodger Pineda's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 19, 2017 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Denver, CO

Current

August 14, 2017 - Present

LIFEMARK SECURITIES CORP.

Office #1: 101 Loudoun Street, Sw, Leesburg, VA 20175

RIA

CRD#: 16204

Leesburg, VA

Past

August 11, 2017 - August 14, 2017

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Denver, CO

Past

July 14, 2016 - July 17, 2017

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ENGLEWOOD, CO

Past

June 23, 2016 - July 17, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

ENGLEWOOD, CO

Past

September 9, 2014 - June 17, 2016

OSAIC WEALTH, INC.

RIA

CRD#: 23131

LAKEWOOD, CO

Past

August 4, 2014 - June 17, 2016

OSAIC WEALTH, INC.

CRD#: 23131

LAKEWOOD, CO

Past

March 28, 2012 - August 12, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

GREENWOOD VILLAGE, CO

Past

July 1, 2011 - August 12, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

GREENWOOD VILLAGE, CO

Past

October 18, 2010 - July 18, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

LAKEWOOD, CO

Past

June 16, 2008 - August 17, 2010

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

June 11, 2007 - September 7, 2007

LEADER CAPITAL CORP.

CRD#: 46206

VANCOUVER, WA

Past

November 25, 2004 - December 7, 2006

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

October 25, 2001 - November 19, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

February 7, 1996 - May 16, 2001

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

March 21, 1995 - November 24, 1995

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

August 10, 1994 - May 18, 1995

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

CRD#: 30898

DENVER, CO

Past

January 12, 1994 - August 5, 1994

R.K. STEELE

CRD#: 1904

BEVERLY HILLS, CA

Past

June 25, 1993 - January 6, 1994

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

CRD#: 30898

DENVER, CO

Past

April 30, 1993 - June 14, 1993

FOSTER JEFFRIES SECURITIES, LLC

CRD#: 30144

WESTBURY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/19/2017)

IAR

Colorado
(9/19/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/14/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael R. Pineda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Rodger Pineda's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Rodger Pineda's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES CORP.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

TRANSAMERICA CAPITAL, LLC

LEADER CAPITAL CORP.

TRANSAMERICA CAPITAL, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BROWNCO, LLC

JOSEPH CHARLES & ASSOC., INC.

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

R.K. STEELE

PARAMOUNT INVESTMENTS INTERNATIONAL, INC.

FOSTER JEFFRIES SECURITIES, LLC

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/14/2012

Series 63

Date: 11/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 4/26/1993

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

Similar Advisors