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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 Francis Shoaf is a financial advisor who has been in the industry since 2006. Michael is currently registered with UBS Financial Services Inc. and holds Series 6, 7, 24, 63, and 66 licenses. Michael has experience working with various clients, including individuals, high-net-worth individuals, corporations, and pension plans. In addition to his work with UBS Financial Services Inc., Michael also worked for CHARLES SCHWAB & CO., INC., FIDELITY BROKERAGE SERVICES LLC, AMERICAN SKANDIA MARKETING, INC., PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
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.
See schedule d - miscellaneous
1
2
CT
04/17/2019 - Present
UBS Financial Services Inc. (HARTFORD CT)
CT
12/18/2006 - 07/22/2010
CHARLES SCHWAB & CO., INC. (WEST HARTFORD CT)
RI
06/30/1999 - 03/16/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
CT
09/13/1996 - 06/15/1999
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
NJ
03/25/1991 - 02/21/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
03/25/1991 - 02/21/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 05/10/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/13/2000
Series 24 - General Securities Principal Examination
BC
Issued 04/01/2019
Series 7TO - General Securities Representative Examination
BC
Issued 02/07/2019
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1996
Series 7 - General Securities Representative Examination
BC
Issued 03/22/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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