Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Allen has over 20 years of experience in the financial services industry. Michael is a Registered Representative and Investment Advisor Representative of Raymond James & Associates, Inc. and Raymond James Investment Management. Michael began his career at Charles Schwab & Co., Inc. and has held positions at several firms, including Morgan Stanley DW Inc., Sovereign Securities Corporation, LLC, Workman Securities Corporation, G.F. Investment Services, LLC, and Invest Financial Corporation. Michael holds FINRA Series 4, 7, 8, 9, 10, 24, 52, 53, 63, 65, and 99 licenses as well as the SIE exam. Michael is a strong advocate for his clients and is committed to providing them with personalized financial advice.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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
FL
02/21/2022 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
01/23/2015 - 02/20/2018
INVEST FINANCIAL CORPORATION (TAMPA FL)
FL
04/05/2010 - 10/17/2013
G.F. INVESTMENT SERVICES, LLC (SARASOTA FL)
FL
07/01/2005 - 07/01/2008
WORKMAN SECURITIES CORPORATION (SARASOTA FL)
PA
04/24/2003 - 01/30/2004
SOVEREIGN SECURITIES CORPORATION, LLC (PHILADELPHIA PA)
NY
10/13/2000 - 05/09/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
07/08/1996 - 11/01/2000
MORGAN STANLEY DEAN WITTER ONLINE INC. (SAN FRANCISCO CA)
TX
12/17/1993 - 06/25/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 12/03/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1993
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 08/19/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/22/2000
Series 24 - General Securities Principal Examination
BC
Issued 12/02/1997
Series 4 - Registered Options Principal Examination
BC
Issued 05/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 02/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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