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Detailed Report
MICHAEL JOHN RAPPA
MICHAEL RAPPA
CRD#: 4799159
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20072008200920102011201220132014201520162017201820192020IALIFEPRO ASSET MANAGEMENT (CRD# 285252)2018 - 2018 (<1 year)IAFORESTERS EQUITY SERVICES, INC. (CRD# 18464)2016 - 2017 (<1 year)IAPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2007 - 2010 (2 years)
Disclosure(s)
View By:
2/15/2019
Regulatory
Final
5/18/2018
Customer Dispute
Pending
2/21/2018
Customer Dispute
Pending
Previous Registration(s)
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 03/12/2018 - 06/22/2018 LIFEPRO ASSET MANAGEMENT (CRD#:285252) Rocklin, CA
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 09/30/2016 - 07/31/2017 FORESTERS EQUITY SERVICES, INC. (CRD#:18464) ROCKLIN, CA
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 11/15/2007 - 09/01/2010 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) ROSEVILLE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.