Michael J. Petrovits
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 James Petrovits, who also goes by Michael J Petrovits, Michael James Petrovits, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2019 - January 2, 2020
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
February 5, 2018 - December 31, 2019
LPL FINANCIAL LLC
February 5, 2018 - December 31, 2019
LPL FINANCIAL LLC
March 8, 2017 - September 12, 2017
ALTMAN ADVISORS
March 2, 2017 - June 28, 2017
PURSHE KAPLAN STERLING INVESTMENTS
January 29, 2014 - November 21, 2016
OPPENHEIMER & CO. INC.
January 29, 2014 - November 21, 2016
OPPENHEIMER & CO. INC.
March 31, 2011 - January 27, 2014
REGAL ADVISORY SERVICES, INC.
March 31, 2011 - January 27, 2014
REGAL SECURITIES, INC.
May 18, 2010 - December 3, 2010
WADDELL & REED
April 12, 2010 - December 3, 2010
WADDELL & REED
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
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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