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Michael David Fazio

Principal Securities, Inc.

Des Moines, IA

Columbus, OH

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-02-24
  • OH RA
    APPROVED
    Since 2023-02-24

Branch Locations

711 High St, Des Moines, IA 50392 • United States

Columbus, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Financial Columbus OH 12/2015 05/2017
Nationwide Investment Services Corporation Columbus OH 05/2017 12/2017
Jpmorgan Securities Llc Columbus OH 12/2017 03/2022
Nationwide Life Insurance Company Columbus OH 12/2015 12/2017
Jpmorgan Chase Bank N.A. Columbus OH 12/2017 03/2022
Microventure Marketplace Inc. Austin TX 03/2022 02/2023
Principal Life Insurance Columbus OH 02/2023 Present
Principal Securities Des Moines IA 02/2023 Present
  • 12/2015 → 05/2017
    Nationwide Financial
    Columbus, OH
  • 05/2017 → 12/2017
    Nationwide Investment Services Corporation
    Columbus, OH
  • 12/2017 → 03/2022
    Jpmorgan Securities Llc
    Columbus, OH
  • 12/2015 → 12/2017
    Nationwide Life Insurance Company
    Columbus, OH
  • 12/2017 → 03/2022
    Jpmorgan Chase Bank N.A.
    Columbus, OH
  • 03/2022 → 02/2023
    Microventure Marketplace Inc.
    Austin, TX
  • 02/2023 → Present
    Principal Life Insurance
    Columbus, OH
  • 02/2023 → Present
    Principal Securities
    Des Moines, IA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-31
  • S66 Uniform Combined State Law Examination
    2020-01-31
Other Names
  • Michael Fazio
  • Mike Fazio

View on SEC IAPD

Other Firms

OSAIC INSTITUTIONS, INC.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
EDWARD JONES
WEST FINANCIAL ADVISORS, L.L.C.
AVANTAX PLANNING PARTNERS, INC.
PROSPECTIVE VALUE PARTNERS LLC

Other Investors

Kathryn Leeper Hooper
ROGER ROBERT RUDEN
Christian Harrison Rogers
ARRON STEVEN CRAMER
RICHARD STEVENS YODER
AARON PLASKAS
CHRISTOPHER E JANDA
Penny Sue Hein

Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

More in Des Moines, IA

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