Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Surprenant is a financial advisor with over 28 years of experience in the industry. Michael is currently registered with Moors & Cabot, Inc. Previously, Michael worked at LPL FINANCIAL LLC, A. G. EDWARDS & SONS, INC., J.P. MORGAN SECURITIES INC., FIDELITY BROKERAGE SERVICES, INC. and PRUDENTIAL SECURITIES INCORPORATED. Michael holds Series 63, 65, 7 and SIE licenses. Michael specializes in providing financial planning, pension consulting and selection of other advisers for businesses and individuals.
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.
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2
MA
11/27/2012 - Present
Moors & Cabot, Inc. (BOSTON MA)
MA
09/14/2007 - 11/20/2012
LPL FINANCIAL LLC (BOSTON MA)
MA
02/16/2006 - 09/19/2007
A. G. EDWARDS & SONS, INC. (BOSTON MA)
MO
09/19/2001 - 07/18/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
03/10/2000 - 10/24/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
RI
01/01/1995 - 03/17/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
03/16/1994 - 12/03/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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