Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Rock is a financial advisor with over 25 years of experience in the industry. Michael has been registered with Franklin Distributors, LLC since July 2024, and has a broad range of experience in the financial services industry. Michael has held previous positions with Putnam Retail Management Limited Partnership, Oppenheimerfunds Distributor, Inc. and other firms. Michael has a strong understanding of the financial markets and is committed to providing his clients with personalized investment advice and guidance.
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.
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.
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2
CT
07/02/2024 - Present
Franklin Distributors, LLC (STAMFORD CT)
MA
05/23/2018 - 07/02/2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
NY
02/23/2012 - 04/24/2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NY
07/11/2007 - 09/28/2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
NC
09/09/2005 - 03/22/2007
GENEOS WEALTH MANAGEMENT, INC. (HUNTSVILLE NC)
CO
06/05/2003 - 09/23/2005
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
TX
12/07/2001 - 05/17/2003
NFP SECURITIES, INC. (AUSTIN TX)
NC
12/05/1997 - 11/12/2001
INTERCAROLINA FINANCIAL SERVICES, INC. (GREENSBORO NC)
OH
05/02/1997 - 11/07/1997
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
MA
01/19/1995 - 05/16/1995
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NJ
03/09/1994 - 10/10/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 07/02/2002
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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