Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Charles O Shaughnessey has been in the financial industry since August 1972. Currently, Michael is registered with UBS Financial Services Inc. in Indianapolis, Indiana, where Michael has been working since January 2009. Michael has a long history in the financial industry having worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated from September 1978 to January 2009 and Merrill Lynch, Pierce, Fenner & Smith, Inc. from August 1972 to September 1978. Michael is licensed as a registered representative in Florida and Indiana, and is registered as an investment advisor in Florida, Indiana, and Texas. Michael holds Series 1, 7TO, 8, 63, and 65 licenses.
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
IN
02/03/2009 - Present
UBS Financial Services Inc. (INDIANAPOLIS IN)
IN
09/26/1978 - 01/26/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
NA
08/09/1972 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 10/25/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/26/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/1/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/8/1977
PC - AMEX Put and Call Exam
BC
Issued 8/7/1972
Series 1 - Registered 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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