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 Rogers is a financial advisor with over 20 years of experience in the industry. Michael is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative. Michael also has a Series 65 and Series 66 license. Prior to joining Merrill Lynch, Michael worked for UST Securities Corp. and Wachovia Securities, LLC. Michael is experienced in providing investment advice and portfolio management services to individuals, businesses, and institutions.
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
NC
09/10/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
CT
09/08/2005 - 08/17/2007
UST SECURITIES CORP. (STAMFORD CT)
MO
10/01/1999 - 03/12/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
05/16/1997 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 09/07/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/12/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1997
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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