Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Fred Broudo is a financial professional with over 15 years of experience in the industry. Michael is currently registered with Oppenheimer & Co. Inc. in New York, New York. Michael has also been previously registered with Jefferies LLC, Miller Tabak + Co., LLC, SG Cowen Securities Corporation, CIBC World Markets Corp., and Datek Securities Corp. Michael has a wide range of experience in the financial industry, including investment banking, securities trading, and research. Michael is also a licensed investment advisor and holds licenses in both Series 63 and Series 65.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
11/04/2019 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
02/24/2014 - 09/12/2019
JEFFERIES LLC (NEW YORK NY)
NY
02/04/2010 - 01/24/2014
MILLER TABAK + CO., LLC (NEW YORK NY)
NY
05/10/2000 - 09/17/2002
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
02/17/1999 - 05/04/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NE
03/12/1997 - 06/06/1997
DATEK SECURITIES CORP. (OMAHA NE)
BC
Issued 03/10/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/22/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/22/2010
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/03/2010
Series 7 - General Securities Representative Examination
BC
Issued 11/20/2001
Series 3 - National Commodity Futures Examination
BC
Issued 02/06/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
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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