Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Armand Bas is a financial advisor with Stifel, Nicolaus & Company, Inc.. Michael has been in the industry since 1994 and is registered in California, Idaho, Texas and several other states. Michael has a variety of experience, including working with Wells Fargo Clearing Services, LLC and Morgan Stanley Smith Barney. Michael holds licenses for Series 63, Series 65 and Series 7.
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.
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.
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2
CA
07/08/2021 - Present
Stifel, Nicolaus & Company, Inc. (NEWPORT BEACH CA)
CA
10/28/2010 - 07/12/2021
WELLS FARGO CLEARING SERVICES, LLC (NEWPORT BEACH CA)
CA
06/01/2009 - 11/05/2010
MORGAN STANLEY SMITH BARNEY (NEWPORT BEACH CA)
CA
04/05/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT BEACH CA)
IA
Issued 04/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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