Michael Saghy
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 Saghy, who also goes by Mike Saghy, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
May 31, 2012 - July 26, 2024
FNB WEALTH MANAGEMENT
September 6, 2002 - July 16, 2004
FIRST CITIZENS INVESTOR SERVICES, INC.
July 8, 1999 - August 23, 2000
SCOTT & STRINGFELLOW, LLC
April 17, 1996 - January 30, 1998
WACHOVIA BROKERAGE SERVICE
Primary Firm SEC Registration
FNB WEALTH MANAGEMENT
CRD#: 109515 / SEC#: 801-56609
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
FNB WEALTH MANAGEMENT
CRD#: 109515 / SEC#: 801-56609
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,097 |
| AUM (Assets Under Management) | $ 6,703,955,512 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2024 | ||
| 12/20/2023 | ||
| 02/27/2023 |
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.
