Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Brendan Wootten is a financial professional with over 30 years of experience in the industry. Michael currently works as a Registered Representative for Goldman Sachs & Co. LLC. Prior to joining Goldman Sachs & Co. LLC, Michael worked for several other financial institutions, including GOLDMAN SACHS EXECUTION & CLEARING, L.P., GOLDMAN, SACHS & CO., THOMAS WEISEL PARTNERS LLC, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION and SALOMON BROTHERS INC. Michael holds several industry licenses including Series 3, 7, 9, 10, 24, 55, 57TO and SIE. Michael is registered with the Financial Industry Regulatory Authority (FINRA) and holds licenses in all 50 states.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
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2
NY
05/18/2010 - Present
Goldman Sachs & Co. LLC (NEW YORK NY)
IL
06/05/2007 - 05/18/2010
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (CHICAGO IL)
NY
04/29/2003 - 02/08/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
CA
05/03/2000 - 04/17/2003
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NJ
03/29/1996 - 06/05/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
12/14/1992 - 04/23/1996
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 01/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/15/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/01/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/28/1994
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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