Michael A. De La Garza
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 Andrew De La Garza, who also goes by Michael Andrew Delagarza, Mike Delagarza, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 2001. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2009 - October 4, 2010
NEW ENGLAND SECURITIES
February 26, 2009 - May 22, 2009
NEW ENGLAND SECURITIES
February 9, 2009 - October 4, 2010
NEW ENGLAND SECURITIES
July 16, 2007 - February 13, 2009
MML INVESTORS SERVICES, LLC
May 17, 2007 - February 13, 2009
MML INVESTORS SERVICES, LLC
November 28, 2005 - June 15, 2007
WOODBURY FINANCIAL SERVICES, INC.
November 22, 2005 - June 15, 2007
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2005 - December 13, 2005
EQUITABLE ADVISORS, LLC
June 1, 2005 - December 13, 2005
EQUITABLE ADVISORS, LLC
September 29, 2004 - April 17, 2006
TREK FINANCIAL
May 3, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
April 6, 2004 - June 1, 2005
MONY SECURITIES CORPORATION
September 5, 2003 - April 6, 2004
PRUCO SECURITIES, LLC.
August 8, 2003 - April 6, 2004
PRUCO SECURITIES, LLC.
March 26, 2003 - August 12, 2003
MONY SECURITIES CORPORATION
May 3, 2002 - August 12, 2003
MONY SECURITIES CORPORATION
September 10, 2001 - May 20, 2002
NEW ENGLAND SECURITIES
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
