Michael J. 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.
Michael John Mignogna was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2013 - January 2, 2014
DAWSON JAMES SECURITIES, INC.
June 4, 2010 - November 16, 2011
WOODSTOCK FINANCIAL GROUP, INC.
February 12, 2008 - June 19, 2008
NEWBRIDGE SECURITIES CORPORATION
December 13, 2006 - April 11, 2007
VFINANCE INVESTMENTS, INC
September 7, 2005 - July 27, 2006
DAWSON JAMES SECURITIES, INC.
September 29, 2004 - September 6, 2005
WOODSTOCK FINANCIAL GROUP, INC.
December 20, 2002 - September 30, 2004
NEWBRIDGE SECURITIES CORPORATION
September 7, 2001 - December 21, 2002
WOODSTOCK FINANCIAL GROUP, INC.
January 24, 2001 - April 17, 2001
THE CONCORD EQUITY GROUP, LLC
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
