Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael David Fazio is a registered representative with Principal Securities, Inc. based in DES MOINES, IA. Michael has been in the industry since 2017 and holds multiple licenses, including Series 7, Series 10, Series 9, Series 24, and Series 66. Michael has previously worked with Nationwide Investment Services Corporation, JPMorgan Securities LLC, and MICROVENTURE MARKETPLACE INC. Michael has a specialization in providing financial planning services to individuals, businesses, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Seminar fees, solicitors fees, subscription consulting fees
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2
IA
02/24/2023 - Present
Principal Securities, Inc. (DES MOINES IA)
TX
03/15/2022 - 02/01/2023
MICROVENTURE MARKETPLACE INC. (AUSTIN TX)
OH
01/26/2018 - 03/01/2022
J.P. MORGAN SECURITIES LLC (Columbus OH)
OH
06/05/2017 - 01/08/2018
NATIONWIDE INVESTMENT SERVICES CORPORATION (GRANDVIEW HEIGHTS OH)
BOTH
Issued 01/31/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/04/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/02/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/18/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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