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MG

Michael J. Garofalo

LIFEMARK SECURITIES
Milleville, DE
Some features on this profile are disabled
CRD#: 2678306
MG

Professional summary

Michael Joseph Garofalo JR, who also goes by Michael J Garofalo, Michael Joseph Garofalo Jr, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Milleville, Delaware.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael J Garofalo | Michael Joseph Garofalo Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Garofalo JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Garofalo JR'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

February 23, 2015 - Present

LIFEMARK SECURITIES CORP.

RIA
BD
CRD#: 16204
Milleville, DE
Current

January 3, 2012 - Present

LIFEMARK SECURITIES CORP.

RIA
BD
CRD#: 16204
Milleville, DE
Past

November 22, 2004 - January 4, 2012

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
YORK, PA
Past

November 3, 2003 - November 23, 2004

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

August 12, 2002 - November 4, 2003

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

January 3, 2002 - August 14, 2002

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

March 29, 2000 - January 3, 2002

GLATFELTER FINANCIAL SERVICES, INC.

BD
CRD#: 101980
YORK, PA
Past

January 4, 2000 - March 31, 2000

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

March 25, 1998 - January 5, 2000

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

April 25, 1997 - March 26, 1998

MBSC, LLC

BD
CRD#: 42430
NEW YORK, NY
Past

September 24, 1996 - March 26, 1998

DREYFUS INVESTMENT SERVICES COMPANY, LLC

BD
CRD#: 17477
PITTSBURGH, PA
Past

January 12, 1996 - September 12, 1996

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 12, 1996 - September 12, 1996

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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".
LS
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)
BD
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.
RR
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

RR
Delaware
(7/14/2022)
IAR
Delaware
(7/31/2025)
RR
Florida
(7/26/2019)
RR
Georgia
(7/26/2019)
RR
Maryland
(5/7/2024)
RR
Massachusetts
(1/4/2022)
RR
New Jersey
(11/20/2025)
RR
New York
(5/7/2024)
RR
North Carolina
(7/3/2018)
RR
Pennsylvania
(1/3/2012)
IAR
Pennsylvania
(2/23/2015)
RR
Virginia
(8/5/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/15/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/11/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
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)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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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
88

SEC notice filing (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
KALINOWSKI, ANDREW JOSEPHVP / BOARD MEMBER/SECRETARY263409
MICCICHE, VINCENT JRTREASURER/ FINOP/PFO/POO702149
PRISCO, JAMES JOSEPHCHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER2653402
PRISCO, JAMES JOSEPHPRESIDENT / BOARD MEMBER2653402
GEORGIEV, ALEXANDRE JR.CCO OF THE RIA / DIRECTOR OF OPERATIONS5307830

Regulatory assets under management

Total Number of Accounts2,021
AUM (Assets Under Management)$ 461,475,636

Disclosures

Regulatory Event2
Arbitration3

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.

Company Information

LIFEMARK SECURITIES CORP.

CRD#: 16204Milleville, DE

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