Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Emmett Flood is a financial advisor with over 25 years of experience in the industry. Michael is currently registered with Stifel, Nicolaus & Company, Inc. in California and Texas. Michael has a strong track record of providing investment advice and financial planning services to a wide range of clients, including individuals, families, businesses, and retirement plans. Michael has a deep understanding of the financial markets and is committed to helping clients achieve their financial goals. Michael holds a Series 6, 7, 31, and 63 licenses, as well as the SIE exam and the Series 65. Michael is also a Certified Financial Planner.
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.
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
CA
02/22/2019 - Present
Stifel, Nicolaus & Company, Inc. (IRVINE CA)
CA
06/19/1999 - 02/26/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)
TX
07/26/1995 - 05/21/1999
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
GA
08/31/1994 - 07/14/1995
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 07/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/03/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/29/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Michael Flood is the right advisor for you? Invested Better is here to help.
