Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you K? Claim Your ProfileK Michael Lavery is an Investment Advisor Representative at Wells Fargo Clearing Services, LLC. K Michael has been in the industry since 1982. K Michael holds the Series 3, 7, 9, 10, 31 and 63 licenses. K Michael is also a licensed Investment Advisor Representative in Texas and Virginia. K Michael has worked for Wells Fargo Advisors, LLC since 2009. K Michael has also been a registered representative with Wachovia Securities, Inc., Wheat, First Securities, Inc. and Dean Witter Reynolds Inc. K Michael is an experienced financial advisor with a strong track record of success. K Michael provides investment consulting services to institutional clients and financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
VA
06/21/2002 - Present
Wells Fargo Clearing Services, LLC (RICHMOND VA)
NC
01/19/1995 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
07/03/1989 - 01/31/1995
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NY
05/02/1986 - 07/18/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NC
08/26/1982 - 05/09/1986
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 07/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/23/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 06/03/1988
Series 3 - National Commodity Futures Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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