Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Hoctor is a financial advisor with over 40 years of experience in the industry. Michael is currently registered with Oppenheimer & Co. Inc. in Houston, TX, and holds a Series 65 and Series 63 license. Previously, Michael was registered with CIBC WORLD MARKETS CORP. and Oppenheimer & Co., Inc., as well as DEAN WITTER REYNOLDS INC., IDS LIFE INSURANCE COMPANY, IDS MARKETING CORPORATION and INVESTORS DIVERSIFIED SERVICES, INC.. Michael's experience includes portfolio management for individuals and businesses, financial planning, and pension consulting. Michael is dedicated to providing clients with personalized financial advice and guidance.
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.
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.
1
2
TX
08/25/2005 - Present
Oppenheimer & Co. Inc. (HOUSTON TX)
NY
04/27/1982 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
11/15/1979 - 08/30/1982
DEAN WITTER REYNOLDS INC.
NA
08/24/1978 - 11/15/1979
IDS LIFE INSURANCE COMPANY
NA
08/24/1978 - 11/15/1979
IDS MARKETING CORPORATION
NA
08/24/1978 - 11/15/1979
INVESTORS DIVERSIFIED SERVICES, INC.
IA
Issued 05/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/30/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/18/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1979
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1978
Series 1 - Registered Representative Examination
Active
Inactive
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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