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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Ernest Mozingo is an investment advisor representative with Wells Fargo Clearing Services, LLC. Michael has been in the industry for 23 years and is registered to provide investment advice in 17 states. Michael holds the Series 6, 7, 63, and 66 licenses and the SIE exam. In addition to Wells Fargo, Michael has worked at a number of other firms including CUNA Brokerage Services, Inc., UVEST Financial Services Group, Inc., Tower Square Securities, Inc., Wachovia Securities, LLC, and First Union Brokerage Services, Inc. Michael is a specialist in the areas of retirement planning, investment management, and estate planning. Michael is also a specialist in the areas of fixed income, equities, and mutual funds.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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
SC
08/22/2015 - Present
Wells Fargo Clearing Services, LLC (CHARLESTON SC)
SC
04/28/2006 - 09/29/2006
CUNA BROKERAGE SERVICES, INC. (CHARLESTON SC)
NC
10/19/2004 - 04/21/2006
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
CA
01/12/2004 - 10/21/2004
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
MO
10/01/2000 - 12/16/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
08/15/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 06/21/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2004
Series 7 - General Securities Representative Examination
BC
Issued 08/14/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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