Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Wakes is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the financial industry since September 2011. Michael has been a registered representative with Merrill Lynch since September 2022. Prior to joining Merrill Lynch, Michael was a registered representative with J.P. MORGAN SECURITIES LLC from October 2012 to September 2022. Michael has also been employed with JPMorgan Chase Bank and Bank of America, N.A. Michael is registered in Arkansas, California, Florida, Illinois, Iowa, Kansas, Kentucky, Missouri, Nebraska, Oklahoma, Tennessee, and Texas. Michael holds Series 6, 7TO, 63, and 66 securities licenses as well as the SIE exam. Michael offers portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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
MO
01/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KANSAS CITY MO)
MO
10/01/2012 - 09/24/2022
J.P. MORGAN SECURITIES LLC (Kansas City MO)
CA
07/10/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (REDLANDS CA)
CA
05/16/2007 - 04/24/2008
WORLD GROUP SECURITIES, INC. (POMONA CA)
BOTH
Issued 12/14/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/17/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/15/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/2012
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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