Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Legieza is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the financial industry since May 1996. Michael is registered with the state of New York as a Registered Representative and Investment Advisor Representative. Michael has passed Series 63, 66, 7, 8, 9, 10, and SIE exams. Michael has a large base of clients, specializing in corporations, individuals, high-net-worth individuals, and pension and profit-sharing plans.
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
NY
01/17/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
09/22/2008 - 09/13/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/11/1996 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 03/25/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/17/1996
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 02/20/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1996
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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