Michael J. Lacognata
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 John Lacognata, who also goes by Mike Lacognata, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 3, 2012 - March 10, 2016
B. C. ZIEGLER AND COMPANY
June 19, 2012 - March 10, 2016
B. C. ZIEGLER AND COMPANY
August 10, 2005 - April 20, 2012
RBC CAPITAL MARKETS, LLC
August 1, 2005 - April 20, 2012
RBC CAPITAL MARKETS, LLC
September 22, 2004 - August 12, 2005
RAYMOND JAMES & ASSOCIATES, INC.
May 5, 1997 - December 11, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 4, 1993 - March 4, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 4, 1993 - March 4, 1994
EQUITABLE ADVISORS, LLC
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
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
