Michael A. Saponaro
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 Saponaro, who also goes by Mike Saponaro, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 15 firms and has passed the Series 65, Series 63 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
October 16, 2012 - September 30, 2014
FORESTERS EQUITY SERVICES, INC.
January 12, 2011 - September 30, 2014
FORESTERS EQUITY SERVICES, INC.
April 21, 2006 - December 31, 2010
ON INVESTMENT MANAGEMENT CO
September 30, 2002 - December 31, 2010
THE O.N. EQUITY SALES COMPANY
October 5, 2001 - October 1, 2002
CINCINNATI ANALYSTS, INC.
December 14, 1994 - October 3, 2001
WOODBURY FINANCIAL SERVICES, INC.
May 25, 1993 - February 8, 1995
BANNER FINANCIAL SERVICES GROUP
May 1, 1993 - July 31, 1996
PRUDENTIAL RETIREMENT SERVICES, INC.
June 1, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 21, 1989 - May 7, 1992
GUARDIAN INVESTOR SERVICES LLC
September 8, 1983 - January 9, 1989
MML INVESTORS SERVICES, LLC
April 14, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
April 13, 1982 - February 9, 1983
JOHN HANCOCK DISTRIBUTORS LLC
February 18, 1982 - September 29, 1983
PRUCO SECURITIES, LLC.
November 23, 1979 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 16, 1977 - March 31, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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: 8/10/1977
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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