Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Walton is a financial professional with over 23 years of experience in the industry. Michael currently holds a Series 63, Series 66, Series 7, Series 10 and Series 9 license. Michael is currently affiliated with Charles Schwab & CO., Inc. and is registered with FINRA, Texas and the state of Texas. Michael has previously worked at TD AMERITRADE, INC., BANC ONE SECURITIES CORPORATION, UBS PAINEWEBBER INC., DEAN WITTER REYNOLDS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Michael has a strong background in helping clients achieve their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
09/01/2023 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
08/29/2014 - 09/01/2023
TD AMERITRADE, INC. (Westlake TX)
IL
06/15/2001 - 03/07/2003
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NJ
08/28/2000 - 06/08/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/22/1999 - 09/14/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/18/2000 - 08/03/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 09/19/2014
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/31/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/08/1999
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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