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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Alan Cott is a financial advisor with over 30 years of experience in the financial services industry. Michael has been registered with Morgan Stanley since 2014, previously worked for RBC CAPITAL MARKETS, LLC, UBS GLOBAL ASSET MANAGEMENT (US) INC., UBS PAINEWEBBER INC. and other firms. Michael is licensed to provide financial advice and securities trading services in multiple states and holds Series 7, 24, 31 and 66 licenses, as well as the Securities Industry Essentials Examination (SIE).
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
08/02/2021 - Present
Morgan Stanley (Pleasanton CA)
CA
03/04/2008 - 01/23/2014
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
12/14/2001 - 03/03/2008
UBS GLOBAL ASSET MANAGEMENT (US) INC. (SAN FRANCISCO CA)
NJ
06/27/2000 - 01/08/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NJ
11/11/1996 - 04/17/2000
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
NY
03/06/1995 - 11/11/1996
RELATED EQUITIES CORPORATION (NEW YORK NY)
MA
10/09/1990 - 07/09/1992
FREEDOM DISTRIBUTORS CORPORATION (BOSTON MA)
CA
02/20/1990 - 10/31/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
TX
03/29/1988 - 01/08/1990
A I M DISTRIBUTORS, INC. (HOUSTON TX)
NA
12/15/1986 - 04/04/1988
CRICO SECURITIES CORPORATION
NA
01/30/1986 - 08/12/1986
BRICHARD & COMPANY, INCORPORATED
NA
08/22/1983 - 05/13/1985
SUTRO & CO. INCORPORATED
NA
05/27/1980 - 08/06/1983
FOX & CARSKADON SECURITIES CORPORATION
NA
11/23/1979 - 03/25/1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 01/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/23/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/28/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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