Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Joseph Embree is a financial professional with over 15 years of experience in the securities industry. Michael has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Prior to joining Merrill Lynch, Michael was with BANC OF AMERICA INVESTMENT SERVICES, INC. and FIDELITY BROKERAGE SERVICES LLC. Michael holds licenses to conduct business in Rhode Island, Texas, and Connecticut, as well as the FINRA Series 7, 9, 10, 63, and 66 registrations. Michael specializes in portfolio management for individuals and businesses.
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
RI
08/23/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Riverside RI)
RI
03/27/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
MA
07/15/2004 - 11/23/2007
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
BOTH
Issued 11/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2004
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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