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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 Keating is an investment advisor representative associated with Wealthpenn.comllc, with offices in NEWPORT, RI. Michael has been working in the financial services industry for over 30 years. Michael holds licenses in both Rhode Island and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
RI
06/01/2009 - Present
Morgan Stanley (NEWPORT RI)
MA
11/16/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SPRINGFIELD MA)
MA
01/28/1995 - 11/28/2007
UBS FINANCIAL SERVICES INC. (SPRINGFIELD MA)
NY
01/23/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
08/23/1988 - 12/20/1988
J. T. MORAN & CO., INC.
BOTH
Issued 7/19/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 2/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/7/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/10/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/1/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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