Michael A. Pieza
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 A Pieza, who also goes by Michael A Pieza, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 31, Series 7, Series 6, Series 4, Series 53, Series 10, Series 9 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2019 - April 6, 2026
EMPOWER FINANCIAL SERVICES, INC.
October 2, 2019 - April 6, 2026
EMPOWER ADVISORY GROUP, LLC
March 13, 2013 - June 2, 2015
CETERA WEALTH SERVICES, LLC
February 7, 2013 - June 2, 2015
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - June 2, 2015
CETERA WEALTH SERVICES, LLC
October 18, 2012 - June 2, 2015
CETERA INVESTMENT ADVISERS LLC
October 18, 2012 - June 2, 2015
CETERA FINANCIAL SPECIALISTS LLC
May 6, 2008 - May 29, 2019
CETERA ADVISORS LLC
May 6, 2008 - May 29, 2019
CETERA ADVISORS LLC
April 14, 2005 - May 12, 2008
MML INVESTORS SERVICES, LLC
August 25, 2000 - December 10, 2003
CHARLES SCHWAB & CO., INC.
June 16, 1999 - July 12, 2000
U.S. BANCORP INVESTMENTS, INC.
April 29, 1997 - February 3, 1999
BROKERAGE ADMINISTRATORS CORPORATION
March 6, 1996 - October 10, 1996
SUNSET 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
