Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Bock is a financial professional with over 34 years of experience in the industry. Michael has a strong background in investments, working with firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Morgan Stanley DW Inc. Currently, Michael is a Registered Representative at Wells Fargo Clearing Services, LLC. Michael holds the Series 3, Series 7, Series 63 and Series 65 licenses. Michael specializes in financial planning, portfolio management for businesses and individuals, and investment consulting services for institutional clients.
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.
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.
Investment consulting services to institutional clients
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
FL
06/25/2018 - Present
Wells Fargo Clearing Services, LLC (BOCA RATON FL)
FL
04/02/2009 - 06/22/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MIAMI FL)
FL
07/16/2004 - 04/21/2009
CITIGROUP GLOBAL MARKETS INC. (CORAL GABLES FL)
NY
01/09/1999 - 07/19/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/21/1994 - 01/11/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/11/1988 - 09/15/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/23/1984 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1984
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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