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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 Hempfling is a financial advisor with over 25 years of experience in the financial services industry. He is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds a variety of licenses and certifications, including Series 7, 24, 63, 65, and 31. Michael has worked in the industry since 1997 and has been with Merrill Lynch since 2000. Michael is also a registered Investment Advisor in several states, including Indiana, Missouri, Texas, and Virginia. He specializes in providing investment advice to individuals, businesses, and institutions.
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
TX
07/23/2003 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (THE WOODLANDS TX)
MO
02/04/1997 - 03/30/2000
EDWARD JONES (ST. LOUIS MO)
IA
Issued 08/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1997
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 06/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/17/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2012
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/03/1997
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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