Michael T. Fucito
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 Thomas Fucito, who also goes by Michael T Fucito, Mike Fucito, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 24, Series 26, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - June 17, 2020
CUNA BROKERAGE SERVICES, INC.
January 20, 2015 - June 17, 2020
CUNA BROKERAGE SERVICES, INC.
January 21, 2014 - April 9, 2014
CETERA INVESTMENT ADVISERS LLC
June 7, 2013 - April 9, 2014
CETERA INVESTMENT SERVICES LLC
May 14, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
June 6, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
June 1, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
May 7, 2008 - May 3, 2011
TRUIST INVESTMENT SERVICES, INC.
August 19, 2004 - May 3, 2011
TRUIST INVESTMENT SERVICES, INC.
June 15, 2002 - July 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 26, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
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 7TO
Date: 7/5/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/5/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 7/5/2022
Municipal Securities Representative ExaminationCurrent Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
