Michael De Gaglia
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 De Gaglia, who also goes by Michael T De Gaglia, Michael Thomas Degaglia, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2018 - September 12, 2025
ROBINHOOD SECURITIES, LLC
March 14, 2012 - July 10, 2018
DEUTSCHE BANK SECURITIES INC.
January 25, 2010 - December 5, 2011
BNP PARIBAS SECURITIES CORP.
January 19, 2010 - December 5, 2011
BNP PARIBAS PRIME BROKERAGE, INC.
May 16, 2006 - January 5, 2010
FORTIS SECURITIES LLC
January 7, 2003 - May 9, 2006
UBS SECURITIES LLC
December 17, 1997 - May 9, 2006
UBS FINANCIAL SERVICES INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/1/2007
Limited Representative-Equity Trader ExamCurrent Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
