Unclaimed
Michael Jonathan Woolfolk is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael Jonathan Woolfolk has been in the industry since September 12, 2017 and has licenses in 53 states as well as the District of Columbia. Michael Jonathan Woolfolk has experience in both the brokerage and investment advisory fields. In addition to being licensed, Michael Jonathan Woolfolk also holds the Series 3, Series 7, Series 9, Series 10, and Series 66 licenses. Michael Jonathan Woolfolk works primarily with individuals, corporations, investment companies, insurance companies, charitable organizations, and pension and profit sharing plans. Michael Jonathan Woolfolk is affiliated with Merrill Lynch, Pierce, Fenner & Smith Inc. which is a large firm with more than $1 trillion in assets under management. Merrill Lynch, Pierce, Fenner & Smith Inc. offers a variety of financial services including investment advisory services, brokerage services, and financial planning 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
CT
02/15/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON CT)
BOTH
Issued 10/23/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/24/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2017
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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