Michael A. Augerinos
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 Anthony Augerinos JR, who also goes by Michael Anthony Augerino Jr, Michael Anthony Augerinos, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 5 firms and has passed the Series 66 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
June 5, 2012 - April 9, 2014
ALLSTATE FINANCIAL SERVICES, LLC
December 14, 2010 - May 21, 2012
LPL FINANCIAL LLC
December 14, 2010 - May 21, 2012
LPL FINANCIAL LLC
October 6, 2009 - December 14, 2010
PNC WEALTH MANAGEMENT LLC
October 6, 2009 - December 14, 2010
PNC WEALTH MANAGEMENT LLC
November 19, 2008 - September 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2008 - September 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 21, 2007 - December 6, 2008
MSI FINANCIAL SERVICES, INC.
December 20, 2007 - December 6, 2008
MSI FINANCIAL SERVICES, INC.
March 27, 2006 - June 20, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2005 - June 20, 2007
AMERIPRISE FINANCIAL SERVICES, 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
