Michael Ganci
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 Ganci was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2017 - March 1, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2013 - December 18, 2017
PEOPLE'S SECURITIES, INC.
December 4, 2012 - December 18, 2017
PEOPLE'S SECURITIES, INC.
July 2, 2012 - November 27, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
March 16, 2010 - June 30, 2011
MML INVESTORS SERVICES, LLC
April 16, 2007 - January 27, 2010
MML INVESTORS SERVICES, LLC
March 19, 2007 - January 27, 2010
MML INVESTORS SERVICES, LLC
May 19, 2004 - March 9, 2007
NYLIFE SECURITIES LLC
November 2, 2000 - June 5, 2002
VOYA FINANCIAL PARTNERS, LLC
June 30, 2000 - June 5, 2002
VOYA FINANCIAL PARTNERS, LLC
August 31, 1999 - August 30, 2000
AETNA FINANCIAL SERVICES, INC.
August 17, 1999 - August 30, 2000
VOYA FINANCIAL PARTNERS, LLC
February 25, 1999 - July 23, 1999
INVEST FINANCIAL CORPORATION
October 20, 1998 - December 21, 1998
AELTUS CAPITAL, INC
July 17, 1995 - October 6, 1998
PEOPLE'S SECURITIES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 11
Date: 7/14/1995
Assistant Representative-Order Processing Qualification ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
