Michael L. Frigo
Professional summary
Michael Louis Frigo is a registered financial professional currently at LUMENT SECURITIES, LLC located in Naperville, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 50, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Louis Frigo's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2021 - Present
LUMENT SECURITIES, LLC
Office #1: 50 South Main Street Suite 200, Naperville, IL 60540September 6, 2016 - March 19, 2021
HUNTINGTON SECURITIES, INC.
July 24, 2015 - August 30, 2016
MESIROW FINANCIAL, 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
(4/1/2021)
Exams
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationSeries 79TO
Date: 2/1/2020
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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