Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kaufman is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 15 years of experience in the financial services industry. Michael is licensed in 17 states and has a Series 7, Series 63, and Series 65 licenses. Michael has a background in providing portfolio management for businesses and individuals. He is also experienced in providing educational seminars, selection of other advisors, and pension consulting. Michael has worked previously with CITIGROUP GLOBAL MARKETS INC. and CITICORP INVESTMENT SERVICES.
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
NY
04/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
05/29/2007 - 01/31/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/30/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
IA
Issued 10/08/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2006
Series 7 - General Securities 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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