Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Lawrence Mulloy is a financial advisor with Raymond James & Associates, Inc. Michael has been in the industry since August 1998 and holds Series 7, 9, 10, 31 and 63 licenses, as well as the SIE and Series 65 exams. Michael has previously worked for Wells Fargo Advisors LLC. Michael specializes in a variety of services including financial planning, portfolio management for individuals and businesses, educational seminars, and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
TX
05/09/2016 - Present
Raymond James & Associates, Inc. (THE WOODLANDS TX)
TX
07/01/2003 - 05/05/2016
WELLS FARGO ADVISORS, LLC (THE WOODLANDS TX)
NY
08/31/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/31/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/03/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 08/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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