Michael F. Nazzaretto

KA ASSOCIATES

Los Angeles, CA 90067

Some features on this profile are disabled

CRD#: 4192701

Professional summary

Michael F Nazzaretto, who also goes by Michael Nazzaretto, is a registered financial professional currently at KA ASSOCIATES, LLC located in Los Angeles, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Nazzaretto

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.

*Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael F Nazzaretto'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

February 21, 2024 - Present

KA ASSOCIATES, LLC

Office #1: 2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067

CRD#: 32029

Los Angeles, CA

Past

June 1, 2023 - January 3, 2024

ORCHARD SECURITIES, LLC

CRD#: 133378

PLEASANT GROVE, UT

Past

February 3, 2022 - May 30, 2023

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Verona, NJ

Past

July 20, 2020 - May 30, 2023

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

Stamford, CT

Past

December 19, 2013 - July 13, 2020

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

August 16, 2010 - November 12, 2013

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

January 23, 2006 - June 4, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

January 3, 2006 - June 4, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

TENAFLY, NJ

Past

December 6, 2004 - December 20, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

February 13, 2004 - December 20, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

California
(2/21/2024)

New York
(2/21/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2022

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KA ASSOCIATES, LLC

KA ASSOCIATES, INC. | KA ASSOCIATES, LLC

CRD#: 32029 / SEC#: , 8-45640

Broker-Dealer Firm Regulated by FINRA (Los Angeles 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

2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067

Mailing Address

2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067

Phone number

(310) 282-7900

Established

Nevada since 05/10/2024

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KAYNE, RICHARD ALAN	SHAREHOLDER
KAYNE ANDERSON CAPITAL ADVISORS LP	SHAREHOLDER	104536
O'NEIL, MICHAEL JOSEPH JR	PRESIDENT, CHIEF COMPLIANCE OFFICER, AND SECRETARY	6043576
STAPLETON, PAUL FRANCIS	FINOP, CFO, PFO, POO, AND TREASURER	4848451

Disclosures

Regulatory Event

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

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael F. Nazzaretto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael F Nazzaretto's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORCHARD SECURITIES, LLC

PRINCIPAL ASSET MANAGEMENT

PRINCIPAL FUNDS DISTRIBUTOR, INC.

MORGAN STANLEY DISTRIBUTION, INC.

NOMURA SECURITIES INTERNATIONAL, INC.

INVESCO CAPITAL MARKETS, INC.

VAN KAMPEN ADVISORS INC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2022

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2004

FINRA

Current Firm

KA ASSOCIATES, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KA ASSOCIATES, LLC

TRUST BUT VERIFY

Similar Advisors