Michael J. Difronzo
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 Difronzo, who also goes by Mick Difronzo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2004 - April 3, 2017
VOYA FINANCIAL ADVISORS, INC.
February 5, 1996 - December 31, 2003
NATIONAL PLANNING CORPORATION
October 13, 1994 - December 31, 1995
MARINER FINANCIAL SERVICES, INC.
April 9, 1991 - August 23, 1994
TOWER SQUARE SECURITIES, INC.
September 29, 1978 - July 26, 1989
PROVIDENT MARKETING CORPORATION
March 8, 1976 - March 9, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 8, 1976 - March 9, 1982
MONY SECURITIES CORPORATION
October 19, 1971 - April 12, 1976
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 10/12/1971
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
