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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kirk Sui is a financial advisor with over 38 years of experience in the industry. Michael is registered as a Broker and Investment Advisor Representative. He holds the Series 3, 7, 15, 31, 63 and 65 licenses as well as the SIE exam. He is also a Certified Financial Planner. Michael is currently employed with Morgan Stanley, where he is also registered with the state of California and Nevada as both a broker and investment advisor representative. Previously, Michael worked with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Michael's career path has included various positions at Morgan Stanley Private Bank, N.A, BANK OF AMERICA,N.A. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Michael is currently licensed in 13 states including Arizona, California, District of Columbia, Georgia, Hawaii, Illinois, Maine, Nevada, New York, North Carolina and Washington.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
01/04/2024 - Present
Morgan Stanley (San Francisco CA)
CA
10/24/1984 - 04/19/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
IA
Issued 07/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/08/1993
Series 15 - Foreign Currency Options Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/09/1984
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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