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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 Tong is an active registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Palo Alto, CA. Michael Tong is also active with a separate IA registration in Texas and has been in the industry for over 18 years. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Michael Tong was with HSBC Securities (USA) Inc. in Cupertino, CA, and before that with AXA Advisors, LLC in San Mateo, CA. Michael Tong has a wide array of experience in the financial industry and holds a variety of licenses, including Series 7, Series 6, 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
07/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
12/27/2016 - 07/15/2022
HSBC SECURITIES (USA) INC. (CUPERTINO CA)
CA
06/20/2014 - 12/02/2016
AXA ADVISORS, LLC (SAN MATEO CA)
CA
10/20/2004 - 10/25/2013
FARMERS FINANCIAL SOLUTIONS, LLC (ELK GROVE CA)
IA
Issued 01/13/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/19/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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