Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Moody is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the industry since June 30, 2004. Michael is a Series 66, Series 10, Series 9, Series 7TO, SIE, Series 31, and Series 7 license holder. Michael's firm has approximately $10 billion to $50 billion in regulatory assets under management. The firm has a total of 2,911,578 accounts. The firm offers advisory services to various client types, including corporations or other businesses, high-net-worth individuals, and charitable organizations. Michael is registered in 53 states and territories.
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
PR
04/02/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GUAYNABO PR)
BOTH
Issued 12/02/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/13/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 05/04/2000
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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