Michael A. Regina

NETWORK 1 FINANCIAL SECURITIES

Massapequa, NY 11758

Some features on this profile are disabled

CRD#: 2711111

Professional summary

Michael Anthony Regina, who also goes by Mike Regina, is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Massapequa, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Regina

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) - BD

Click below to view Michael Anthony Regina'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

December 4, 2012 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: 100 Hicksville Road #205, Massapequa, NY 11758

CRD#: 13577

Massapequa, NY

Past

July 9, 2010 - December 10, 2012

OBSIDIAN FINANCIAL GROUP, LLC

CRD#: 104255

FREEPORT, NY

Past

February 8, 2010 - July 21, 2010

QA3 FINANCIAL CORP.

CRD#: 14754

FARMINGDALE, NY

Past

September 12, 2008 - February 12, 2010

J.D. NICHOLAS & ASSOCIATES, INC.

CRD#: 44791

FARMINGDALE, NY

Past

March 22, 2005 - October 9, 2008

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

BLOOMINGTON, IL

Past

August 16, 2002 - April 19, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

April 30, 2002 - September 3, 2002

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

April 29, 2002 - May 23, 2002

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

October 31, 2001 - May 24, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

October 11, 2000 - October 30, 2001

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

September 22, 2000 - October 18, 2000

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

March 20, 1998 - September 22, 2000

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

April 11, 1997 - March 20, 1998

HD BROUS & CO., INC.

CRD#: 22062

GREAT NECK, NY

Past

April 4, 1996 - March 4, 1997

STERLING FOSTER & COMPANY, INC.

CRD#: 36052

UNIONDALE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(12/4/2012)

Alaska
(5/15/2023)

Arizona
(5/9/2013)

California
(12/4/2012)

Colorado
(12/10/2012)

Connecticut
(9/23/2022)

Delaware
(9/9/2024)

Florida
(12/4/2012)

Georgia
(12/10/2012)

Idaho
(4/22/2020)

Illinois
(12/4/2012)

Indiana
(12/11/2012)

Iowa
(1/24/2013)

Kansas
(2/11/2013)

Kentucky
(12/4/2012)

Maryland
(12/4/2012)

Massachusetts
(5/17/2024)

Michigan
(12/4/2012)

Minnesota
(12/4/2012)

Mississippi
(4/22/2014)

Montana
(12/14/2012)

Nebraska
(12/4/2012)

Nevada
(6/28/2013)

New Jersey
(12/4/2012)

New York
(12/4/2012)

North Carolina
(12/4/2012)

North Dakota
(1/30/2013)

Ohio
(12/4/2012)

Oklahoma
(12/4/2012)

Oregon
(7/28/2022)

Pennsylvania
(12/4/2012)

South Carolina
(12/4/2012)

Texas
(12/4/2012)

Utah
(9/29/2021)

Vermont
(12/4/2012)

Virginia
(12/4/2012)

Washington
(12/4/2012)

West Virginia
(12/4/2012)

Wisconsin
(12/10/2012)

Exams

State Security Law Exam

Series 63

Date: 3/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/21/2014

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/2006

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Mailing Address

The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701

Phone number

(732) 758-9001

Established

Texas since 03/15/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)	SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNT	SHAREHOLDER
BRUNO, VINCENT MICHAEL	CHIEF COMPLIANCE OFFICER	1845833
HUNT, WILLIAM RICHARD JR	DIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE	830575
TESTAVERDE, DAMON DOMENIC	VICE PRESIDENT	444453

Disclosures

Regulatory Event	21
Arbitration	4

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.

Similar Advisors

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Regina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Anthony Regina's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBSIDIAN FINANCIAL GROUP, LLC

QA3 FINANCIAL CORP.

J.D. NICHOLAS & ASSOCIATES, INC.

FIRST MIDWEST SECURITIES, INC.

GUNNALLEN FINANCIAL, INC

NATIONAL SECURITIES CORPORATION

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

W.J. NOLAN & COMPANY, INC.

HAPOALIM SECURITIES USA, INC.

W.J. NOLAN & COMPANY, INC.

HD BROUS & CO., INC.

STERLING FOSTER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1996

Series 4

Date: 2/21/2014

Series 24

Date: 4/27/2006

FINRA

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL SECURITIES INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NETWORK 1 FINANCIAL SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors