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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 Flaherty is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been active in the securities industry for over 6 years and has experience with a variety of investment products and services. He is licensed in multiple states, including Connecticut and Texas, and is able to provide investment advice to individuals, businesses, and institutions. Michael’s prior experience includes a role at WELLS FARGO CLEARING SERVICES, LLC. Prior to that, Michael worked at WELLS FARGO BANK, NA in a branch location in Connecticut. Michael holds the Series 6, 7, 63 and 65 licenses. Michael has been registered with the Securities and Exchange Commission since 2017.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
04/01/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HARTFORD CT)
CT
02/08/2017 - 05/17/2023
WELLS FARGO CLEARING SERVICES, LLC (ROCKY HILL CT)
IA
Issued 03/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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