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Michael Christopher Phalen

Truist Securities, Inc.

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About Michael Christopher Phalen

Michael Christopher Phalen is a financial advisor registered with Truist Securities, Inc. Michael has over 20 years of experience in the financial services industry. Michael is licensed in 52 states and the District of Columbia.

Firm Information

Michael Phalen is currently registered with Truist Securities, Inc.. Truist Securities, Inc. is a Corporation formed in July 1972. The firm is registered with the SEC and in all 50 states, as well as in the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

309

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Michael Phalen’s Registration & Firm History

NC

11/09/2020 - Present

Truist Securities, Inc. (CHARLOTTE NC)

NC

08/01/2008 - 10/19/2020

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

MD

01/14/2008 - 07/24/2008

OPPENHEIMER & CO. INC. (BALTIMORE MD)

MD

10/08/2007 - 01/14/2008

CIBC WORLD MARKETS CORP. (BALTIMORE MD)

NY

05/02/2002 - 01/27/2004

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

06/14/1999 - 03/18/2002

DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)

MD

09/01/1997 - 06/14/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NA

01/17/1997 - 09/01/1997

ALEX. BROWN & SONS INCORPORATED

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Licenses & Designations

BC

Issued 09/24/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2008

Series 7 - General Securities Representative Examination

BC

Issued 10/05/2007

Series 62 - Corporate Securities Limited Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Christopher Phalen.
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