Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Fawcett has been in the financial industry since 2007. Michael is a registered representative and investment advisor representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Michael currently has licenses in several states including New Jersey, Texas, Alabama, Alaska, Arizona, and California. Michael has a variety of licenses, including Series 4, Series 7, Series 9, Series 10, Series 24, and Series 66. Michael has experience providing various financial services including portfolio management for individuals and businesses, as well as pension consulting and educational seminars. Michael holds the SIE designation. Michael is currently associated with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2007.
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
10/03/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
BOTH
Issued 09/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/19/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/28/2012
Series 24 - General Securities Principal Examination
BC
Issued 12/01/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2007
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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