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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 C. Moody is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the financial industry for over 30 years and has a broad range of experience. Michael is registered with the Financial Industry Regulatory Authority (FINRA) as a general securities representative and a registered options principal. Michael also holds the Series 52, Series 53, and Series 63 licenses. Michael has experience in various aspects of financial advising, including portfolio management, financial planning, and investment consulting. Michael has been with Merrill Lynch for over 13 years and has held previous roles with firms such as CITIGROUP GLOBAL MARKETS INC. and PNC INVESTMENTS.
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
NJ
07/26/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Bridgewater NJ)
NJ
01/12/2005 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (BEDMINSTER NJ)
PA
01/01/2004 - 01/14/2005
PNC INVESTMENTS (PITTSBURGH PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
09/27/1995 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
NA
09/22/1988 - 10/12/1995
CHEMICAL INVESTOR SERVICES, INC.
NA
04/12/1988 - 06/04/1988
ALLSTATE INVESTMENT GROUP, INC.
NA
08/18/1987 - 04/12/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
12/18/1986 - 02/27/1987
FIRST INVESTORS CORPORATION
IA
Issued 02/07/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/1994
Series 24 - General Securities Principal Examination
BC
Issued 06/29/1993
Series 4 - Registered Options Principal Examination
BC
Issued 06/21/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1986
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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