Michael J. Zagoria
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 Jay Zagoria, who also goes by Michael J Zagoria, Michael Zagoria, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 7 firms and has passed the Series 66, SIE 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
September 20, 2018 - July 25, 2023
EQUITABLE DISTRIBUTORS, LLC
June 7, 2017 - May 9, 2018
PACIFIC SELECT DISTRIBUTORS, LLC
January 15, 2016 - March 29, 2016
CURIAN CAPITAL, LLC
August 12, 2014 - May 23, 2017
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 9, 2013 - August 11, 2014
CURIAN CAPITAL, LLC
January 8, 2013 - August 11, 2014
CURIAN CLEARING, LLC
July 13, 2011 - December 14, 2012
EQUITABLE ADVISORS, LLC
July 13, 2011 - December 14, 2012
EQUITABLE ADVISORS, LLC
January 14, 2011 - June 13, 2011
VALIC FINANCIAL ADVISORS, INC.
December 1, 2010 - June 13, 2011
VALIC FINANCIAL ADVISORS, INC.
August 24, 2010 - October 29, 2010
VALIC FINANCIAL ADVISORS, 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
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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