Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kern Heiser is a registered investment advisor with RBC Capital Markets, LLC. Michael has been in the financial services industry since 1996. Michael has a wide range of experience, having previously worked at firms such as Wells Fargo Advisors, LLC, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., LINSCO/Private Ledger Corp., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Michael is also a licensed investment advisor representative in Minnesota.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
11/19/2013 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
CA
08/24/2010 - 01/23/2012
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
06/01/2009 - 09/14/2010
MORGAN STANLEY SMITH BARNEY (LA JOLLA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CARLSBAD CA)
CA
07/03/2001 - 04/02/2007
MORGAN STANLEY DW INC. (LAJOLLA CA)
SC
05/22/1998 - 03/24/2000
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
02/13/1995 - 04/07/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/20/2016
Series 4 - Registered Options Principal Examination
BC
Issued 09/03/2014
Series 24 - General Securities Principal Examination
BC
Issued 09/22/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1999
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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