Joseph L. Mignogna
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.
Joseph Lawrence Mignogna JR, who also goes by Joseph Lawrence Mignogna, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2012 - May 29, 2015
EQUITY SERVICES, INC.
June 1, 2012 - May 29, 2015
EQUITY SERVICES, INC.
October 17, 2007 - September 8, 2011
AMERITAS INVESTMENT COMPANY, LLC
October 11, 2007 - September 8, 2011
AMERITAS INVESTMENT COMPANY, LLC
May 25, 2001 - September 17, 2007
PARK AVENUE SECURITIES LLC
April 18, 2001 - September 17, 2007
PARK AVENUE SECURITIES LLC
January 17, 2001 - March 23, 2001
NEW ENGLAND SECURITIES
April 24, 1996 - December 31, 2000
NEW ENGLAND SECURITIES
July 30, 1990 - December 11, 1992
NEW ENGLAND SECURITIES
June 24, 1986 - August 23, 1988
VERAVEST INVESTMENTS, INC.
September 21, 1983 - March 11, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
February 17, 1983 - April 25, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 29, 1976 - October 28, 1981
VP DISTRIBUTORS LLC
September 21, 1972 - January 29, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 21, 1972 - January 29, 1977
OSAIC FA, INC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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 1
Date: 9/18/1972
Registered Representative ExaminationCurrent Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 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.
