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MICHAEL A FERRONE
MICHAEL ANTHONY FERRONE
CRD#: 1916778
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 52 FOREST AVE
PARAMUS, NJ 07652
PARAMUS, NJ 07652
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8/22/2022
Customer Dispute
Closed-No Action
4/21/2021
Regulatory
Final
State Registrations
B
Arizona 9/21/2018
B
Nevada 3/17/2021
B
California 8/25/2022
B
New Jersey 5/3/1999
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California 8/25/2022
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New Jersey 1/15/2003
B
Delaware 2/20/2018
B
New York 4/18/2000
B
District of Columbia 7/31/2020
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New York 4/16/2021
B
Florida 5/30/2007
B
North Carolina 8/26/2022
B
Illinois 10/25/2022
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North Carolina 9/13/2022
B
Indiana 10/8/2004
B
Pennsylvania 9/4/2008
B
Maine 1/21/2021
B
Texas 11/2/2022
B
Massachusetts 3/4/2014
SRO Registrations
B
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IA
Registered with this firm since 1/15/2003
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Registered with this firm since 5/3/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/09/1995 - 05/03/1999 | NEW YORK, NY | |
B | 01/05/1995 - 12/31/1996 | SYRACUSE, NY | |
B | 10/03/1990 - 01/05/1995 | NEW YORK, NY | |
B | 03/02/1989 - 10/05/1990 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.