Michael GorgoneCRD Number: 2976321
Current Firm: Ameriprise Financial Services, Inc.
Michael Gorgone (CRD# 2976321) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in New London, CT and has over 20 years of experience in the finance industry.
First Financial Advisory Services Inc.
Sagepoint Financial, Inc.
Lansdowne Wealth Management, LLC
|Ameriprise Financial Services, Inc.||Mystic, CT||Mar 2009 - Current||9|
|Banc Of America Investment Services, Inc.||Hartford, CT||Oct 2004 - Feb 2009||4|
|Banc Of America Insurance Services, Inc.||Old Lyme, CT||Oct 2004 - Feb 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1998|
|S65||NASAA Investment Advisors Law Examination||May 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management198,081MILLIONS
Total Number of Accounts1,126,912ACCOUNTS
Average Account Value$175,773
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY