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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 Jones is a financial advisor who has been in the industry since January 2, 1991. Michael is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in North Carolina and Texas. Previously, Michael was employed by RBC Capital Markets Corporation, Legg Mason Wood Walker, Incorporated, First Union Securities, Inc., and First Union Capital Markets Corp. Michael has passed the Series 63, Series 65, Series 7, Series 9, Series 10 and SIE exams. Michael is currently licensed as a registered representative in 53 states and the District of Columbia. Michael has a specialization in options, fixed income, equities, mutual funds, and variable products.
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
NC
03/10/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
11/18/2005 - 03/04/2010
RBC CAPITAL MARKETS CORPORATION (CHARLOTTE NC)
MD
11/09/2000 - 11/29/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
10/01/1999 - 11/17/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
01/03/1991 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IA
Issued 3/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/31/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/18/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/1990
Series 7 - General Securities 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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