Michael A. Pagano
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 Anthony Pagano, who also goes by Mike Pagano, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14, Series 53, Series 4 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
October 25, 2019 - December 31, 2023
AVANTAX ADVISORY SERVICES
October 25, 2019 - December 31, 2023
AVANTAX INVESTMENT SERVICES, INC.
April 5, 2002 - October 25, 2019
1ST GLOBAL ADVISORS INC
December 5, 2001 - March 17, 2005
1ST GLOBAL VENTURES, INC.
May 24, 2001 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
February 1, 2001 - May 25, 2001
CETERA FINANCIAL SPECIALISTS LLC
September 27, 1999 - May 22, 2001
CAPITAL BROKERAGE CORPORATION
May 27, 1999 - November 2, 1999
PHOENIXLINK INVESTMENTS INC.
July 10, 1996 - September 22, 1999
WS GRIFFITH SECURITIES, INC.
January 30, 1996 - July 15, 1996
POLARIS FINANCIAL SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
