Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Dose is a financial advisor at Dempsey Lord Smith, LLC. Michael has been working in the financial services industry for over 35 years and holds a Series 6, 7, 24, 63 and SIE license. Michael has experience with a variety of financial products and services including financial planning, portfolio management, and investment advisory services. Michael is a Chartered Financial Consultant and is a member of the Financial Planning Association. In addition to his work at Dempsey Lord Smith, LLC, Michael also runs a business called The Retirement Strategy Connection. Michael is committed to providing his clients with personalized financial advice that meets their individual needs.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
GA
10/15/2019 - Present
Dempsey Lord Smith, LLC (ROME GA)
CA
11/07/2017 - 10/11/2019
CENTER STREET SECURITIES, INC. (SAN DIEGO CA)
CA
04/02/2012 - 11/06/2017
GRADIENT SECURITIES, LLC (SAN DIEGO CA)
CA
12/09/2009 - 04/12/2012
INFINITY FINANCIAL SERVICES (SAN DIEGO CA)
CA
03/15/1993 - 11/17/2009
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
NJ
10/21/1987 - 02/04/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 01/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/26/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1995
Series 7 - General Securities Representative Examination
BC
Issued 10/20/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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