Michael E. Benardo
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 Edmund Benardo, who also goes by Michael Benardo, Michael E Benardo III, Michael Edmund Benardo III, Mike Benardo Iii, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2012 - April 26, 2013
NEW ENGLAND SECURITIES
September 24, 2012 - April 26, 2013
NEW ENGLAND SECURITIES
June 6, 2011 - October 12, 2011
EQUITABLE ADVISORS, LLC
April 27, 2009 - May 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 10, 2008 - May 3, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 17, 1991 - October 6, 1992
MORGAN STANLEY DW INC.
May 29, 1986 - April 26, 1989
ROBERT W. BAIRD & CO. INCORPORATED
January 22, 1986 - October 15, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 13, 1983 - March 15, 1985
ADVEST, INC.
November 27, 1978 - November 3, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 6/19/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
