Mike Tragesser is a skilled professional, working in Lpl Financial main office of which is in 353. on the position of Branch Examinations Manager at Lpl Financial since 2018. Mike gained professional experience in more than six positions at various companies. Mike Tragesser went to the The Ohio State University Fisher College of Business and received education from 1994 to 1999. Mike Tragesser has such qualifications as Certified Securities Compliance Professional, Finra Series 7, 63, 24, 53, 28, and Finra Series 7, 63, 24, 53. Plainview, Texas is the area, where this professional was known to live. The professional's e-mail and phone can be easily accessed through this website on demand.
Name variants:
Michael Tragesser
Last updated Jun 09, 2024
Contact Information
Last Update
Jul 3, 2022
Email
mi**@horanassoc.com, tr**@hotmail.com
Location
Plainview, TX
Company
Workplace
Branch Examinations Manager at Lpl Financial
San Diego, CA
Industry
Financial Services
Colleagues
Work History
Branch Examinations Manager at Lpl Financial
4707 Executive Dr, San Diego, CA 92121
from Jan 2018
Business Operations Manager
6116 Harrison Ave, Cincinnati, OH 45247
May 2017 — Nov 2017
Chief Compliance Officer at Horan Securities, Inc
4990 east Galbraith Rd, Cincinnati, OH 45236
For over 65 years, HORAN has served as a trusted advisor and thorough planner in the areas of life insurance for estate and business planning, employee benefits consulting and wealth managem...
Oct 1, 2011 — 2017
Compliance Manager
1 Financial Way, Cincinnati, OH 45242
Mar 2005 — Apr 2008
Retirement Investment Specialist
245 Summer St, Boston, MA 02210
Aug 1999 — Mar 2005
Education
Occupations
Executive
Manager
Accountant
Finance and Accounting Specialist
Operations Manager
Director of Operations
Accounting Bookkeeper
Bookkeeper
Skills
Investment Advisor Compliance
Broker Dealer Compliance
Finra
Sec Compliance
Broker Dealer Operations
Uniform Combined State Law
Investment Advisory Services
Investments
Series 63
Series 7
Series 53
Securities
Retirement
401K
Broker Dealer Compliance
Series 28
Regulatory Compliance
Financial Reporting