Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Casey is a financial advisor who has been in the industry since March 2003. Michael is currently registered with Wells Fargo Securities, LLC, and has previously worked at Goldman Sachs & Co. LLC and Citigroup Global Markets Inc. Michael holds a number of industry licenses and certifications, including the Series 63, 26, 14, 39, 24, 6TO, 99TO, 52TO, 82TO, 22TO, 79TO, SIE, and 7 exams. Michael is registered to provide investment advice in all 50 states.
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.
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.
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2
TX
06/14/2023 - Present
Wells Fargo Securities, LLC (HOUSTON TX)
TX
01/05/2018 - 01/25/2023
GOLDMAN SACHS & CO. LLC (HOUSTON TX)
TX
10/22/2002 - 01/02/2018
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
BC
Issued 10/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 06/14/2023
Series 14 - Compliance Officer Examination
BC
Issued 06/14/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 02/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 06/14/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/14/2023
Series 99TO - Operations Professional Examination
BC
Issued 06/14/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 06/14/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 06/14/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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