Michael A. Derosa
Professional summary
Michael Andrew Derosa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Michael had worked at 7 firms, which includes M&T SECURITIES INC., BB&T INVESTMENT SERVICES INC., TRUIST INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., CITIGROUP GLOBAL MARKETS INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2009 - January 17, 2013
M&T SECURITIES, INC.
April 7, 2009 - January 17, 2013
M&T SECURITIES, INC.
October 5, 2005 - June 19, 2008
BB&T INVESTMENT SERVICES, INC.
October 5, 2005 - June 19, 2008
BB&T INVESTMENT SERVICES, INC.
May 10, 2005 - September 1, 2005
M&T SECURITIES, INC.
May 10, 2005 - September 1, 2005
M&T SECURITIES, INC.
July 22, 2003 - May 10, 2005
TRUIST INVESTMENT SERVICES, INC.
May 14, 2003 - May 10, 2005
TRUIST INVESTMENT SERVICES, INC.
October 1, 2000 - August 6, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 28, 1994 - September 9, 1998
CITIGROUP GLOBAL MARKETS INC.
August 4, 1994 - October 1, 1994
STRATTON OAKMONT 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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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