Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael j? Claim Your ProfileMichael J Lappin is a financial advisor at UBS Financial Services Inc. in Raleigh, North Carolina. Michael has been working in the financial services industry since 1994, providing advice to a wide range of clients, including individuals, families, businesses, and institutions. Michael is licensed to sell securities in several states and holds multiple industry licenses, including Series 7, Series 31, Series 63 and Series 65. Michael also holds the SIE certification.
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
NC
02/14/2012 - Present
UBS Financial Services Inc. (RALEIGH NC)
NC
08/09/1994 - 01/31/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARY NC)
IA
Issued 08/27/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/08/1994
Series 7 - General Securities 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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